Rule 506(b) Convertible Preferred Stock
A Feature-rich, SEC and Reg. D Rule 506(b) compliant Private Placement Memorandum (PPM) ideal for your corporation issuing Convertible Preferred Stock. With these documents, you can easily create your own SEC & Reg. D compliant, custom PPM and the full set of Reg. D offering documents you need for your capital raise.
We've made the first 25 pages of the PPM available for your preview. The Table of Contents displays the breath and depth of this PPM.
- Business model: manufacturing company;
- Min/Max Capital Raise;
- Escrow Services;
- Easily-to-edit sample content will save you time in creating your offering documents;
- Content written in Microsoft® Word for easy editing.
Your PPM Package Includes These Important Documents
- Private Placement Memorandum;
- Subscription Agreement;
- Investor Suitability Questionnaire;
- Third Party Verification Letter;
- Jurisdictional Legends (all 50 states);
- ERISA Disclosure Document;
- Anti-money Laundering Certification;
- Anti-money Laundering Definitions;
- Third Party Anti-money Laundering Certification;
- Form D (for filing with the SEC);
- Capitalization Table;
- Pitch Sheet;
- Form U-1, Application to Register Securities;
- Form U-2, Uniform Consent to Service of Process;
- Form U-2A, Uniform Form Resolution; and,
- Form of Conversion Agreement.
- The single zip file, containing all of the documents you need, is available for download after purchase. You will receive an email containing the link to download your files.
- Within the PPM, we've highlighted areas in red to indicate the information you'll need to provide for your particular offering.
State "Blue Sky" Laws
In addition to complying with Federal Security Laws, you must also comply with "Blue Sky Laws." Each state has its own security laws ("Blue Sky Laws") which you must follow.
Our Blue Sky Filing Letter package includes the web site for each of the states' security regulators in addition to a sample Blue Sky Letter for filing with the states' security regulators.
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 template to accurately reflect the specific provisions of your Regulation D capital raise.
This sample document is intended to serve as a starting point only, and should be tailored to meet your specific requirements. This document should not be construed as legal advice for any particular facts or circumstances. Note that this sample document presents an array of (often mutually exclusive) options with respect to particular deal provisions.