Rule 506(c) Convertible Preferred Stock with Warrants

$179.95 $159.95

A Rule 506(c) compliant Private Placement Memorandum for issuing Convertible Preferred Stock with Warrants

  • An easy to edit PPM template featuring sample content from “effective” Form S-1’s;
  • Includes the Subscription Agreement, Investor Questionnaire, Third Party Verification Letter, Form of Warrant, Form D plus other required documents;
  • An easily edited Mail Merge Data Source file to save you time in preparing your PPM;
  • Plus, a “Pitch” Sheet and Capitalization Table; and,
  • Free Form D filing.



Our Rule 506(c) compliant Private Placement Memorandum template is ideal for your corporation issuing Convertible Preferred Stock with Warrants. The PPM template features sample content from Forms S-1 that have been declared “effective” by the SEC.

The content is written in Microsoft® Word making the content easy to edit for your capital raise. Also featured is Microsoft Word’s Mail Merge, a program which will populate the PPM with many recurring facts (company name, address, etc.) that you enter into the Mail Merge Data Source file saving you time in preparing your PPM.

Includes These Important Documents

  • Private Placement Memorandum
  • Mail Merge Data source file;
  • Subscription Agreement;
  • Investor Verification;
  • Third-party Verification Letter;
  • Form of Warrant;
  • Jurisdictional Legends (all 50 states);
  • ERISA Disclosure;
  • Anti-Money Laundering Document;
  • Anti-Money Laundering Certification;
  • Anti-Money Laundering Definitions;
  • Capitalization Table;
  • Executive Summary/Pitch Sheet;
  • Form D;
  • Form U-1;
  • Form U-2;
  • Form U-2A.


Table Of Contents

  • PPM Summary;
  • Financial highlights (unaudited);
  • Risk Factors;
  • Use of Proceeds;
  • Determination of Offering Price;
  • Dilution;
  • Capitalization;
  • Plan of Distribution;
  • Description of Securities;
  • Shares Eligible For Future Sale;
  • Interests of Named Experts and Counsel;
  • Information With Respect To The Issuer;
  • Management’s Discussion and Analysis of Financial Condition And Results of Operations;
  • Material Changes;
  • Incorporation of Certain Information By Reference;
  • Other Expenses of Issuance and Distribution;
  • Indemnification of Directors and Officers;
  • Recent Sales of Unregistered Securities;
  • Where You Can Find Additional Information;
  • Exhibits.

State "Blue Sky" Laws

We encourage issuers to contact state securities regulators in the state in which they intend to offer or sell securities for further guidance on compliance with state security laws.

Although we created these documents to conform with the disclosure requirements of Regulation D of the Securities Act of 1933 and Regulation S-K, these documents present an array of often mutually exclusive options with respect to particular Regulation D provisions. We encourage you to tailor the templates to accurately reflect the specific provisions of your Regulation D capital raise.

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