Form D and Blue Sky State Filings

Accomplish the Form D PDF template. Send it to our team via e-mail. For new clients, include your filing codes. You may opt to let us submit a subsequent Blue Sky state filing on your behalf.

Complete Form D Template 

Accomplish the Form D PDF template.

 

Send to OFFISTRA

Send us the completed template, including the company’s CIK and CCC filing codes. We will generate a Form D proof, and give you a copy for approval. If the EDGAR filing codes are not available. We can help you acquire them. For new EDGAR filing codes, requests may 1 to 3 days to process. We request that you make sure that enough time is given for this part of the process.

 

Review Proof

The Form D must be reviewed online, securely. The proof we will generate is based on the official SEC Form D template. Once it appears, it reflects how the form will appear once filed on the SEC web site.

 

Approve

Approve the file and OFFISTRA will send the Form D to the SEC EDGAR system. We will send you an e-mail acceptance message to let you know that we have submitted the file.  

 

 

Complete Blue Sky State Filing Template 

Accomplish our state filing template. Please indicate which states need a notice.

Send to OFFISTRA

Send OFFISTRA the completed Blue Sky template via e-mail, so we can study the state list and give you a fee estimate.

 

Send Fees to OFFISTRA

Via credit card or bank, fees can be sent to us. We need the fees before the filing as they are debited from OFFISTRA’s account at the time of submission. Some states ask for late fees, and these fees may change daily. Note that most participating states charge a fee. Meanwhile, the EFD charges a fee of $155 for submission.

 

Review Proof

Check the proof of the Blue Sky state filing.

 

Approve

Once the file is approved, we will submit the Blue Sky notice and send you an e-mail acceptance message that the process is done.

 

About Form D & Blue Sky State Filings

For filing a notice of an exempt offering of securities with the United States Securities and Exchange Commission, Form D is used. This form includes the names and the addresses of the promoters of the company, the executive officers and directors, and additional details on the offering. According to commission rules, companies and funds that have sold securities without registration under the Securities Act of 1933 must file the notice in an offering based on a claim of exemption. This is under Rule 504, 505 or 506 or Regulation D or Section 4(5) of that statute. Through the EDGAR system. Form D is submitted to the SEC.

Several states have “Blue Sky” securities regulations, and these regulations ask the filing of Form D amendments and notices. Most of these submissions charge a fee. Mostly, states allow for electronic or paper Form D filing. A few states mandate electronic filing, while majority accept both. Since December 2014, electronic submission of Form D can be made through the Electronic Filing Depository (EFD), programmed with the filing requirements of each state.

 

Resources

 

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