Form D Filing
Under the amended rules adopted by the SEC, issuers have had the option of filing a paper Form D or the electronic version of Form D with the SEC since September 15, 2008, but filing the electronic version of Form D becomes mandatory for new filings and amendments on March 16, 2009. In order to file Form D electronically, the issuer will need to use the CIK code and EDGAR access code that EDGAR filers use or, if the issuer does not have these codes, the issuer will need to obtain them.Â Issuers who have filed paper Form D’s with the SEC will have a CIK code, which they can find by searching on the SEC website, and they can use their CIK code to obtain an EDGAR access code.Â The SEC’s Division of Corporate Finance has provided useful information for searching for and obtaining CIK codes and EDGAR access codes as well as filing Form D electronically at http://sec.gov/divisions/corpfin/formdfiling.htm.
Or download the FormD here: www.sec.gov/info/smallbus/secg/formdguide.htm
The FormD is for information only and is not subject to review or approval by the SEC or any state securities commission. Its simply “filed”.
When raising capital through selling securities of any type to investors you are required to file the FormD.