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Form D

Draft SEC Form D Filings in Minutes, Not Hours

12 minutes with CaseMark

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Form D

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Workflow

Form D

Overview

CaseMark's Form D Generator automates the drafting of SEC Form D notices for Regulation D exempt offerings. By extracting key data from your organizational documents, offering materials, and related persons information, it produces a comprehensive, EDGAR-ready filing covering issuer details, offering structure, exemption classification, and compliance requirements.

Preparing SEC Form D filings is a tedious, detail-intensive process requiring attorneys to manually extract and transcribe data across dozens of fields from multiple source documents. Errors in issuer information, related persons details, or exemption classifications can trigger SEC scrutiny, filing rejections, or compliance issues — all under a tight 15-day deadline after the first sale of securities.

CaseMark automates the entire Form D drafting process by intelligently extracting issuer details, offering terms, related persons information, and exemption classifications from your uploaded documents. The AI produces a complete, structured Form D ready for EDGAR submission, dramatically reducing preparation time while improving accuracy and regulatory compliance.

How it works

  1. 1. Upload your organizational documents, offering materials, and related persons information

  2. 2. AI extracts issuer details, offering terms, exemption basis, and compensation arrangements

  3. 3. Review the complete Form D draft with all items populated and compliance flags highlighted

  4. 4. Export the EDGAR-ready filing in your preferred format (DOCX, PDF)

What you get

  • Filing Information & CIK Details

  • Issuer Information & Entity Details

  • Related Persons Directory

  • Securities Offered & Offering Structure

  • Exemption Basis & Rule Classification

  • Sales Compensation & Finder Arrangements

  • Offering Recipients & Investor Counts

  • Use of Proceeds Summary

What it handles

  • Complete Form D drafting across all 16 items for EDGAR submission

  • Automatic exemption classification for Rule 504, 506(b), and 506(c)

  • Related persons table with roles, addresses, and CRD number mapping

  • Offering structure capture including securities types, amounts, and investor counts

  • Sales compensation and broker-dealer arrangement documentation

  • Use of proceeds breakdown with SEC-compliant categorization

Required documents

  • Issuer Organizational Documents

    Articles or certificate of incorporation/formation, operating agreement, or equivalent organizational documents

    .pdf, .docx

  • Offering Materials

    Private placement memorandum, term sheets, subscription agreements, or other offering documentation

    .pdf, .docx

  • Related Persons Information

    List of executive officers, directors, and promoters with business addresses and role designations

    .pdf, .docx, .xlsx

Supporting documents

  • Prior Form D Filings

    Previously filed Form D notices if this filing is an amendment

    .pdf, .docx

  • Broker-Dealer Agreements

    Sales compensation arrangements, finder's fee agreements, and CRD number documentation

    .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 automated data extraction and population

Minimize filing errors with AI-driven validation of issuer information, exemption classifications, and related persons data

Ensure regulatory compliance with built-in support for Rule 504, 506(b), and 506(c) requirements

Streamline amendment filings by automatically identifying and incorporating changes from prior submissions

Questions

Does this generate an EDGAR-ready Form D filing?

CaseMark drafts a complete Form D covering all required items in the SEC's prescribed format. The output is structured for direct transcription into the EDGAR online filing system, saving hours of manual data entry and reducing errors.

Which Regulation D exemptions does this support?

CaseMark supports all major Regulation D exemptions including Rule 504, Rule 506(b), and Rule 506(c). The AI automatically identifies the correct exemption basis from your offering materials and applies the appropriate disclosure requirements.

Can it handle Form D amendments?

Yes. CaseMark can draft both new Form D notices and amendments. Simply upload your prior Form D filing along with updated materials, and the AI will generate a properly numbered amendment reflecting all changes.

How does CaseMark handle the 15-day filing deadline?

CaseMark dramatically accelerates Form D preparation by automating data extraction and form population that typically takes hours of manual work. What previously required painstaking field-by-field entry can be drafted in minutes, helping you comfortably meet the 15-day post-first-sale filing deadline.

Is the related persons section comprehensive?

CaseMark identifies and populates entries for all executive officers, directors, and promoters as defined by SEC regulations. It captures full legal names, business addresses, relationship classifications, and CRD numbers where applicable.

What if my offering involves multiple securities types?

CaseMark handles complex offering structures involving equity, debt, options, pooled investment fund interests, and other securities types. The AI accurately captures each type along with minimum investment amounts, total offering amounts, and investor eligibility criteria.

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