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Starting March 16, 2009, the SEC will require all companies or funds filing a Form D notice or an amendment to submit the form electronically. Until that time, filers may submit paper or electronic forms.
About the Form Form D is a form for a notice required to be filed by companies and funds that have sold securities without registration under the Securities Act of 1933 in an offering based on a claim of exemption under Rule 504, 505 or 506 of Regulation D or Section 4(6) of that statute. The notice is required to be filed within 15 days after the first sale of securities in the offering based on the exemption. For this purpose, the date of first sale is the date on which the first investor is irrevocably contractually committed to invest. If the due date falls on a Saturday, Sunday or holiday, it is moved to the next business day. The SEC does not charge any filing fee for a Form D notice or amendment. Many states also require the filing of Form D notices and amendments, and most of them do charge a filing fee. For information on state requirements for Form D filings, visit www.NASAA.org   .
For the SEC Press Release (2007-259) announcing electronic filing and changes to Form D, please visit http://www.sec.gov/news/press/2007/2007-259.htm. For the full ruling, please read the SEC's Final Rule: Electronic Filing and Revision of Form D, Release Nos. 33-8891; 34-57280; 39-2453; IC-28145; File No. S7-12-07 RR Donnelley Solution RR Donnelley offers clients a self service solution for Form D via the NET.filer filing platform (rrdnetfiler.com). Using the intuitive web interface, users can quickly and easily complete and submit their Form D. The platform also supports Section 16, Form 8-K, Form 6-K, 12b-25 and Correspondence filings. For clients who would prefer a full service solution, assisted Form D filings are available through your local RR Donnelley service center. Additional Resources Form D: http://www.sec.gov/info/smallbus/cfformd.htm Form D Paper Form: http://www.sec.gov/about/forms/formd.pdf Form D Guide: http://www.sec.gov/info/smallbus/secg/formdguide.htm Form D Definitions: http://www.sec.gov/info/smallbus/formddefinitions.htm Form D Corporation Finance Guidance: http://www.sec.gov/divisions/corpfin/formdfiling.htm Form D Instructions: https://www.onlineforms.edgarfiling.sec.gov/formd/Instructions.html | | ||||||||||||||||||||||||||||||||||
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