Form D Notice

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

Offering Documents & Term Sheets
Charter & Organizational Documents

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

Workflow

Overview

CaseMark's Form D Notice skill uses AI to draft complete SEC Form D data sets for Regulation D exempt offerings, covering Rule 504, 506(b), and 506(c). It extracts issuer information, related persons, offering terms, and exemption details from your source documents and produces a structured, EDGAR-aligned filing with a built-in validation checklist.

Preparing a Form D notice of exempt offering requires painstaking manual assembly of issuer data, related-person details, offering terms, and exemption eligibility facts across multiple source documents. Missing a single required field or misaligning data can delay filing past the 15-day deadline, exposing issuers to regulatory risk and potential loss of the Regulation D safe harbor.

CaseMark automates the entire Form D drafting process by extracting and organizing filing data from your offering and charter documents into a complete, EDGAR-ready data set. The AI validates every required field, explicitly flags gaps, and produces a structured output that counsel can review and finalize in a fraction of the time manual preparation demands.

How it works

1. Upload your offering documents, term sheets, and charter documents
2. AI extracts issuer details, related persons, offering terms, and exemption basis
3. Review the complete Form D data set with flagged missing items
4. Export the EDGAR-ready filing in your preferred format (DOCX, PDF)

What you get

Filing Header & Status
Issuer Information
Related Persons Table
Offering Terms & Security Details
Exemption Basis & Eligibility Facts
Sales Compensation Summary
Use of Proceeds
Signature Block
Validation Checklist

What it handles

Complete Form D data set generation aligned to EDGAR field requirements
Support for Rule 504, 506(b), and 506(c) exemptions with eligibility validation
Automated related-persons table for officers, directors, and promoters
Sales compensation and use-of-proceeds documentation
Built-in validation checklist flagging missing or inconsistent data
Initial filing and amendment support with prior Form D cross-referencing

Required documents

Offering Documents & Term Sheets
Private placement memorandum, term sheet, or subscription agreement detailing the offering terms, security types, amounts, and pricing
.pdf, .docx
Charter & Organizational Documents
Articles of incorporation, operating agreement, or partnership agreement providing the issuer's legal name, jurisdiction, organizational form, and formation date
.pdf, .docx

Supporting documents

Prior Form D Filing
Previously filed Form D for cross-referencing when preparing an amendment
.pdf, .docx
Officer & Director List
Roster of executive officers, directors, and promoters with business addresses and roles
.pdf, .docx, .xlsx
Broker-Dealer Engagement Letters
Agreements with placement agents, broker-dealers, or finders detailing compensation structure and CRD numbers
.pdf, .docx

Why teams use it

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

Minimize filing errors with automated validation that flags missing fields and inconsistencies

Ensure compliance with structured exemption-basis documentation matching SEC requirements

Streamline amendments by cross-referencing prior Form D filings automatically

Questions

Which Regulation D exemptions does this skill support?

CaseMark supports all major Regulation D exemptions including Rule 504, Rule 506(b), and Rule 506(c). The AI automatically structures the filing data to match the specific requirements of your chosen exemption.

Can I use this for Form D amendments?

Yes. CaseMark handles both initial filings and amendments. For amendments, upload your prior Form D and the AI will cross-reference existing data, highlight changes, and produce an updated data set ready for EDGAR submission.

How does CaseMark handle missing information?

CaseMark explicitly flags any missing required fields rather than guessing or filling in placeholder data. You'll receive a clear validation checklist identifying every gap so you can gather the necessary information before filing.

Is the output ready to submit directly to EDGAR?

CaseMark produces a complete Form D data set structured to match EDGAR field requirements. You should review all flagged items and verify key dates and identifiers before final submission, as the filing remains the responsibility of the issuer and its counsel.

What documents do I need to get started?

At minimum, you'll need your offering documents or term sheets and the issuer's charter/organizational documents. CaseMark will extract the legal name, jurisdiction, organizational form, and other issuer details from these sources. For amendments, include the prior Form D filing as well.

Does CaseMark verify the 15-day filing deadline?

CaseMark captures the date of first sale and references the Rule 503 filing deadline requirement. However, you should independently verify the applicable deadline with counsel, as CaseMark flags this as a compliance checkpoint rather than providing legal advice.