Form D

Draft SEC Form D Filings in Minutes, Not Hours

12 minutes with CaseMark

Run this workflow

Run it in CaseMark

Upload your documents and get a finished work product in minutes. New accounts get $5 free to run their first skill.

12 minutes with CaseMark

What you'll need

Issuer Organizational Documents
Offering Materials
Related Persons Information

SOC 2 Type II · HIPAA compliant · $5 free credit

Workflow

Overview

CaseMark's Form D skill automates the drafting of SEC Form D Notice of Exempt Offering filings for Regulation D transactions. By extracting issuer details, related persons, offering structure, exemption basis, and compensation arrangements from your source documents, it produces a comprehensive, EDGAR-formatted filing ready for counsel review and submission.

Preparing SEC Form D filings is a tedious, detail-intensive process requiring attorneys and paralegals to manually extract and input data across dozens of fields from multiple source documents. Errors in issuer information, related persons, or offering details can delay filings and create compliance risks, especially under the 15-day filing deadline after first sale.

CaseMark's AI analyzes your organizational documents, offering materials, and related persons information to automatically draft a complete Form D filing structured for EDGAR submission. The system captures all required items—from issuer details and exemption basis to sales compensation and use of proceeds—letting your team focus on verification and compliance rather than data entry.

How it works

1. Upload issuer organizational documents, offering materials, and related persons information
2. AI extracts and structures all required Form D fields across all item categories
3. Review the complete draft for accuracy, amend any details, and confirm exemption basis
4. Export the EDGAR-ready Form D filing in your preferred format (DOCX, PDF)

What you get

Filing Information (CIK, Filing Type, Date of First Sale)
Issuer Information (Legal Name, Address, Entity Type, SIC Code)
Related Persons (Officers, Directors, Promoters)
Securities Offered (Type, Exemption Claimed, Federal Exclusions)
Offering Details (Minimum Investment, Total Offering Amount, Sales to Date)
Sales Compensation (Broker-Dealers, Finders, CRD Numbers)
Use of Proceeds & Issuer Financial Details

What it handles

Complete Form D drafting with all 16 required items for EDGAR submission
Automatic issuer information structuring with entity type, SIC code, and jurisdiction details
Related persons compilation for executive officers, directors, and promoters
Offering structure analysis covering exemption basis, securities type, and minimum investment
Sales compensation and broker-dealer arrangement documentation with CRD number tracking
Use of proceeds categorization and revenue range classification

Required documents

Issuer Organizational Documents
Articles or certificate of incorporation/formation, operating agreement, or equivalent organizational documents for the issuing entity
.pdf, .docx
Offering Materials
Private placement memorandum (PPM), term sheets, subscription agreements, or other documents describing the offering structure and terms
.pdf, .docx
Related Persons Information
List of all executive officers, directors, and promoters with full legal names, business addresses, and relationship designations
.pdf, .docx, .xlsx

Supporting documents

Prior Form D Filings
Previously filed Form D notices if this filing is an amendment to an existing notice
.pdf, .docx
Broker-Dealer Agreements
Compensation arrangements with broker-dealers or finders, including CRD numbers and fee structures
.pdf, .docx
CIK Assignment Documentation
Prior EDGAR filing confirmation or CIK assignment letter from the SEC
.pdf

Why teams use it

Reduce Form D preparation time from hours to minutes with AI-powered document extraction and structuring

Minimize data entry errors across complex multi-field filings with automated field population

Ensure consistent formatting aligned with SEC Form D requirements across all 16 item categories

Free up attorney time to focus on substantive compliance review rather than manual form completion

Questions

What Regulation D exemptions does this skill support?

CaseMark supports all Regulation D exemptions including Rule 504, Rule 506(b), and Rule 506(c). The AI automatically identifies the applicable exemption basis from your offering materials and structures the filing accordingly.

Can this handle Form D amendments as well as new filings?

Yes. CaseMark can draft both new Form D notices and amendments. If you upload prior Form D filings, the AI will reference them to ensure consistency and properly designate the amendment number.

How does CaseMark ensure the Form D is EDGAR-ready?

CaseMark structures the output to match the SEC's official Form D format across all required items, including proper field formatting, jurisdiction codes, SIC codes, and entity classifications. You should still verify all data before submission through EDGAR.

What if the issuer has multiple related persons or co-issuers?

CaseMark handles multiple related persons, capturing full legal names, business addresses, and all applicable relationships (executive officer, director, promoter) for each individual. Co-issuer information is also supported.

Does this replace legal counsel for securities compliance?

CaseMark accelerates the drafting process and reduces manual data entry errors, but it does not replace legal judgment. Securities counsel should review the completed Form D for regulatory compliance before EDGAR submission.

How quickly can I generate a Form D with CaseMark?

CaseMark typically generates a complete Form D draft in approximately 10-12 minutes, compared to the hours of manual preparation traditionally required. This gives your team more time to focus on substantive compliance review.