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GP · Fund · Per vehicle

Form D and state notices

Within 15 days of the first sale, your filing agent files Form D and the state notices from data Operator assembled, and the receipts are filed with the vehicle.

PlanForm D and state notices

  1. Read the vehicle’s details

    Held

    The day the first investor is admitted, reads the vehicle, its managers, the issuer, the amount sold and the investor list.

    API actionWaits until the first investor is admitted

  2. Compile the Form D

    Held

    Operator fills in the Form D items, names the exemption and lists the related persons and the state notices due, reading where investors live from their subscription documents. Your counsel can take this step over.

    Operator

  3. Confirm the filing data

    Held

    You confirm the related persons and the exemption before anything goes to your filing agent.

    PersonGP approves

  4. Brief your filing agent

    Held

    Opens an upload link in the vehicle’s compliance folder and emails your filing agent one brief with the data and the link, once you confirm.

    API actionGP confirms

  5. File Form D and the state notices

    Held

    Your filing agent files on EDGAR and in each state, then uploads the receipts through the link.

    PersonFiling agent approves

  6. Watch the deadline

    Held

    If the filing is still open on day 12, Operator alerts you while there is time to act.

    OperatorWaits 12 days after the first sale

  7. Check the receipts arrived

    Held

    Checks that the EDGAR and state receipts are in the vehicle’s compliance folder.

    API action

  8. Decide on the annual amendment

    Held

    You decide whether the offering is still open and an annual amendment is due.

    PersonWaits 11 months after the first sale

The plan as it runs: each step waits for the one before it, and stops at its gate until the owner approves.

At a glance

Who runs it, and when

Who runs it
GP
What starts it
Your fund or SPV admits its first investor, which starts the 15-day Form D clock.
How often
Per vehicle
Vehicle
Fund

Ask Operator

Start it in a sentence

Ask Operator in chat. It drafts the plan for your fund, and nothing runs until you release it.

  • You

    Our SPV just admitted its first investor; get the Form D filed.

  • You

    Prepare the Form D for the new fund.

  • You

    Which state notices do we owe for the SPV?

The outcome

Form D and the state notices are filed from data you confirmed, the receipts are in the vehicle’s compliance folder, and the annual amendment is on the calendar.

What it proves

  • Starts the day the first investor is admitted, not when someone remembers.
  • Assembles the filing data from live records and your offering documents.
  • Briefs your filing agent only after you have confirmed the exemption.
  • Alerts you on day 12 if nothing is filed, and comes back for the amendment eleven months on.
  • Lets your counsel take over the compiling step, with the same access.
  • Hands the filing itself to your filing agent, with an upload link for the receipts.

Run it on your fund

Talk to the team about running this playbook on your own fund.

Talk to a human