Form D

Draft SEC Form D Filings in Minutes, Not Hours

12 minutes with CaseMark

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12 minutes with CaseMark

What you'll need

Organizational Documents
Offering Materials
Related Persons List

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. It extracts issuer details, related persons, offering structure, exemption elections, and compensation arrangements from your source documents to produce a complete, EDGAR-aligned filing draft. The result is a comprehensive Form D ready for review and submission within the 15-day filing window.

Preparing SEC Form D filings requires painstaking manual extraction of data from multiple source documents—organizational filings, PPMs, subscription agreements, broker-dealer arrangements, and related persons records. Missing a field, misidentifying a promoter, or miscalculating offering amounts can delay filings and create compliance risk, especially under the 15-day filing deadline after first sale.

CaseMark automates the entire Form D drafting process by analyzing your issuer documents, offering materials, and related persons information in one pass. The AI populates every required EDGAR field—from issuer details and exemption elections to sales compensation and use of proceeds—producing a review-ready draft that ensures accuracy and helps you meet your filing deadline with confidence.

How it works

1. Upload issuer organizational documents, offering materials, and related persons information
2. AI extracts issuer details, offering structure, exemption basis, and compensation arrangements
3. Review the fully structured Form D with all required EDGAR fields populated
4. Export the completed filing in your preferred format (DOCX, PDF) for EDGAR submission

What you get

Item 1: Filing Information
Item 2: Issuer Information
Item 3: Related Persons
Item 4: Securities Offered
Exemption Basis & Rule Election
Sales Compensation & Finder Details
Use of Proceeds
Offering & Sales Amounts

What it handles

Auto-populates issuer details, entity type, jurisdiction, and SIC codes from organizational documents
Identifies and structures all related persons including executive officers, directors, and promoters
Maps offering structure with securities types, exemption basis, and aggregate amounts
Captures sales compensation arrangements with broker-dealer and CRD number details
Supports New Notice and Amendment filing types with prior filing cross-referencing
Generates EDGAR-ready output aligned with SEC Form D field requirements

Required documents

Organizational Documents
Articles or certificate of incorporation/formation, operating agreement, or partnership agreement for the issuer entity
.pdf, .docx
Offering Materials
Private placement memorandum, term sheet, or subscription agreement detailing the securities offering
.pdf, .docx
Related Persons List
List of all executive officers, directors, and promoters with full legal names and business addresses
.pdf, .docx, .xlsx

Supporting documents

Prior Form D Filings
Previously filed Form D if this is an amendment filing
.pdf, .docx
Broker-Dealer Agreements
Compensation arrangements, finder's fee agreements, and CRD numbers for sales compensation details
.pdf, .docx
CIK Assignment Documentation
SEC CIK number assignment if the issuer has previously filed with EDGAR
.pdf

Why teams use it

Reduce Form D preparation time from hours of manual data entry to minutes of AI-assisted drafting

Minimize filing errors by automatically cross-referencing organizational documents, offering materials, and related persons data

Ensure compliance with SEC field requirements across all Regulation D exemption types

Streamline amendment filings by referencing prior Form D submissions and highlighting changes

Questions

Does this generate a filing I can submit directly to EDGAR?

CaseMark produces a fully structured Form D with all required fields populated according to SEC specifications. You'll review the output for accuracy and then enter the data into the EDGAR filing system or provide it to your filing agent for submission.

Which Regulation D exemptions does this support?

CaseMark supports all Regulation D exemptions including Rule 504, Rule 506(b), and Rule 506(c). The AI identifies the appropriate exemption basis from your offering materials and populates the corresponding fields accordingly.

Can it handle Form D amendments?

Yes. CaseMark supports both New Notice filings and Amendments. If you upload prior Form D filings, the AI will cross-reference them and generate the appropriate amendment with updated information and the correct amendment number.

How does CaseMark identify related persons for Item 3?

CaseMark extracts executive officers, directors, and promoters from your organizational documents, offering materials, and any related persons lists you provide. It flags each individual's relationship type and captures required business address information.

What if my issuer doesn't have a CIK number yet?

CaseMark handles first-time filers by leaving the CIK field blank and noting that one has not yet been assigned. The output will indicate that a CIK must be obtained from the SEC before the EDGAR submission can be completed.

Does this capture sales compensation and broker-dealer details?

Yes. CaseMark extracts compensation arrangements from broker-dealer agreements and finder's fee documentation, including recipient names, CRD numbers, associated broker-dealer relationships, and compensation amounts or structures.