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Post Offering

Post offering, you’ll need to follow through on a few different items.

  1. Account for all new investors by using an investor spreadsheet, with all contact information;
  2. Deliver all physical stock shares, membership units, or promissory notes to all investors in a timely manner;
  3. Setup a corporate meeting schedule for monthly, quarterly, and annual board and shareholder meetings;
  4. Make sure your accounting books are updated with shareholders equity, or debt, based on the type of offering you’ve conducted;
  5. Send out a formal closing letter for the offering to all shareholders (note: do not advertise for an additional offering); and
  6. Make sure you finalize any Form D filings that haven’t been sent to regulators.

Post Offering Requirements to Investors

Unless you specifically stated in your PPM that you were going to provide investors with certain items, companies are not required to deliver accounting numbers or any other inside information about your business. Public companies are required to provide quarterly and annual reports. Private companies are not required to provide these items. Public companies can also raise capital using Regulation D.

Financial Statements

Audited financial statements may be required, if you accepted capital from non-accredited investors.

The SEC has proposed new rules for Regulation D (Click Here).

PPM Docs Team

Our team blogs about certain topics that pertain to the PPM and Regulation D landscape. We gather information and post helpful data that assists business owners, attorneys and other professionals. Please let us know if there is anything specific you'd like us to blog about.

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