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Get Omb Number: 3235-0076

FORM D Notice of Exempt Offering of Securities OMB APPROVAL UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. OMB Number: 32350076 Expires: August 31, 2015 Estimated Average burden.

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How to fill out the OMB Number: 3235-0076 online

The OMB Number: 3235-0076, also known as the Form D, is a notice of exempt offering of securities that must be accurately completed by issuers. This guide will provide a step-by-step process for filling out the form online to ensure compliance with regulations.

Follow the steps to successfully complete the form online.

  1. Click ‘Get Form’ button to obtain the form and open it in the online editor.
  2. Enter the issuer's identity. Fill in the CIK (filer ID number), previous names, entity type (e.g., corporation, limited partnership), and jurisdiction of incorporation/organization.
  3. Provide the principal place of business and contact information. Complete fields such as the name of the issuer, street address, city, state, ZIP code, and phone number.
  4. List related persons who are executives, directors, or promoters. Include their last name, first name, middle name, address, city, state, ZIP code, and specify their relationship to the issuer.
  5. Select the appropriate industry group from the provided options that best represents the business sector of the issuer.
  6. Indicate the issuer size by selecting the revenue range and aggregate net asset value range applicable to the issuer.
  7. Claim any federal exemptions or exclusions that apply by selecting the relevant rules.
  8. Specify the type of filing (new notice or amendment) and include the date of the first sale or note that the first sale has yet to occur.
  9. Indicate the duration of the offering by selecting whether it is intended to last more than one year.
  10. Select the types of securities being offered, ensuring to check all that apply.
  11. Answer whether the offering is in connection with a business combination transaction.
  12. Provide the minimum investment amount accepted from outside investors.
  13. Fill in details about sales compensation, including the recipient and associated broker or dealer information.
  14. Outline offering and sales amounts, including total offering amount, total amount sold, and the remaining amounts.
  15. Report on investors, including the number of non-accredited investors and total investors who have already invested.
  16. Enter any sales commissions and finders’ fees expenses separately if applicable.
  17. Specify the use of proceeds from the offering if known or provide an estimate.
  18. Review the information entered, agree to the terms of submission, and enter the signer's name along with their title before submitting the form.
  19. Once the form is completed, save changes, download for your records, print, or share the form as necessary.

Complete your filings online with confidence by following the steps outlined above.

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OMB 3235-0104 Form 3 is an initial statement of beneficial ownership of equity securities required to be filed by officers, directors and ten percent holders of companies with securities registered under Section 12 of the Securities Exchange Act of 1934.

Form D is a short notice detailing basic information about the company for investors in the new issuance. Such information may include the size and date of the offering, along with the names and addresses of a company's executive officers.

Privately held companies that raise capital are required to file a Form D with the SEC to declare exempt offering of securities. Many of these filings show investments in small, growing companies through venture capital and angel investors, as well as certain pooled investment funds.

Often referred to as the "truth in securities" law, the Securities Act of 1933 has two basic objectives: require that investors receive financial and other significant information concerning securities being offered for public sale; and. prohibit deceit, misrepresentations, and other fraud in the sale of securities.

Form D is a filing with the Securities and Exchange Commission (SEC) that allows companies under a Regulation D exemption or Section 4(6) exemption to offer stock to finance their businesses without going through the IPO process and selling stock to the public.

Form D is used to file a notice of an exempt offering of securities with the SEC.

SEC Form D, also known as Reg Dex or Reg D, is required for companies and funds offering and selling securities without registration under the Securities Act of 1933 in reliance on an exemption provided in Regulation D or Section 4(a)(5). The form must be filed within 15 days after the first sale of securities.

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© Copyright 1997-2026
airSlate Legal Forms, Inc.
3720 Flowood Dr, Flowood, Mississippi 39232
Form Packages
Adoption
Bankruptcy
Contractors
Divorce
Home Sales
Employment
Identity Theft
Incorporation
Landlord Tenant
Living Trust
Name Change
Personal Planning
Small Business
Wills & Estates
Packages A-Z
Form Categories
Affidavits
Bankruptcy
Bill of Sale
Corporate - LLC
Divorce
Employment
Identity Theft
Internet Technology
Landlord Tenant
Living Wills
Name Change
Power of Attorney
Real Estate
Small Estates
Wills
All Forms
Forms A-Z
Form Library
Customer Service
Your Privacy Choices
Terms of Service
Privacy Notice
Legal Hub
Content Takedown Policy
Bug Bounty Program
About Us
Help Portal
Legal Resources
Blog
Affiliates
Contact Us
Delete My Account
Site Map
Industries
Forms in Spanish
Localized Forms
State-specific Forms
Forms Kit
Legal Guides
Real Estate Handbook
All Guides
Prepared for You
Notarize
Incorporation services
Our Customers
For Consumers
For Small Business
For Attorneys
Our Sites
US Legal Forms
USLegal
FormsPass
pdfFiller
signNow
altaFlow
DocHub
Instapage
Social Media
Call us now toll free:
+1 833 426 79 33
As seen in:
  • USA Today logo picture
  • CBC News logo picture
  • LA Times logo picture
  • The Washington Post logo picture
  • AP logo picture
  • Forbes logo picture
© Copyright 1997-2026
airSlate Legal Forms, Inc.
3720 Flowood Dr, Flowood, Mississippi 39232