Form D

Definition:

An SEC form used to file notice of an exempt offering of securities under Regulation D of the Securities Act and certain other exemptions. Private Placement offerings based on a claim of exemption under Rules 504, 505, 506(b) and 506(c) of Regulation D, Section 4(5) of the Securities Act and exemptions under Section 3(c) of the Investment Company Act must file the Form D. State Blue Sky Laws may also require Form D filings.

Form D contains basic information about the sale, such as the name and address of each person who has, or will be, compensated to solicit buyers for the offering, the total dollar amount of their purchases, and the number of accredited and non-accredited investors.

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