Form D Filing on SEC EDGAR
Simply complete the Form D PDF template and email it to us along with your filing codes. We can also electronically submit a subsequent Blue Sky state filing on your behalf.
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Complete Form D Template Complete the Form D PDF template. |
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Send to Newsfile Email the completed template to us along with your company's CIK and CCC filing codes. Newsfile will generate a proof of the Form D and provide you with a copy for your approval. If you do not have EDGAR filing codes we can work with you to obtain them. Requests for new EDGAR filing codes can take the SEC several days to process so please ensure sufficient time is provided to address this part of the process. |
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Review Proof Review the Form D proof securely online. The proof is based on the official SEC Form D template and reflects how it will appear once filed on the SEC web site. |
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Approve Provide your approval to file. Newsfile will submit the Form D to the SEC EDGAR system and provide you with an email acceptance message. |
Blue Sky State Filings
Our team is available to subsequently electronically file Blue Sky state notices for a Form D filed on SEC EDGAR to states participating in EFD.
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Complete Blue Sky State Filing Template Complete our state filing template, indicating which states require a notice. |
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Send to Newsfile Email the completed Blue Sky template to us. We will review your state list and provide a fee estimate. |
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Send Fees to Newsfile Fees can be submitted via credit card or bank transfer. We will require the fees in advance of the filing as the funds are debited from our account at the time of submission. Note that a number of states also demand late fees and that fee estimates are subject to changes daily as a result. Most participating states charge a fee while the EFD charges a submission fee of $155. |
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Review Proof Review a proof of the Blue Sky state filing. |
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Approve Provide your approval to file. Newsfile will submit the Blue Sky notice and provide you with an email acceptance message. |
About Form D and Blue Sky State Filings
Form D is used to file a notice of an exempt offering of securities with the United States Securities and Exchange Commission. Form D includes the names and addresses of the company’s promoters, executive officers and directors, and some details about the offering. Commission rules require the notice 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(5) of that statute. Form D is submitted to the SEC through the EDGAR system.
Many states have "Blue Sky" securities regulations that require the filing of Form D notices and amendments, and most of them charge a filing fee. Most states allow for either electronic or paper Form D filing, with the majority of states accepting and a few states mandating the electronic filing of Form D. Beginning December 2014, electronic filing of Form D notices can be made through the Electronic Filing Depository (EFD), which is programmed with each state's filing requirements.