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In pursuit of capital, be sure to track your private offering

Editor's note: Matt Storms is writing a series of articles on raising capital from angel and venture capital investors. This installment focuses on managing the offering process after the Private Placement Memorandum has been prepared, and is co-written with Dan Ghoca.

Here's a conversation overheard at a recent conference:


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Pre-existing relationship

As mentioned in previous articles on capital raising, there are certain exemptions under federal and state securities laws that allow an issuer to sell its securities without having to endure the time and expense of going through the registration process (i.e., becoming a public company). One of the most fundamental restrictions in qualifying f......

Full article >>> redited (e.g., 35). If an issuer is offering its securities to investors who are not accredited, an issuer must be aware of the limits on the number of non-accredited investors that may receive those materials, overall and on a state-by-state basis.


For purposes of state securities law compliance (and in limited contexts, federal securities law compliance), it is......

Full article >>> e offering in accordance with the securities law requirements under which the offering is being made. The control sheet also allows the issuer to easily request and confirm return of offering packets and subscription materials from the investors upon the closing of the offering, which not only helps demonstrate the issuer's good-faith effort to limit the distribution of the offering materials, bu......

Full article >>> g a control sheet helps to ensure that the company fulfills the pre-existing relationship requirement. It also creates a centralized place for monitoring the status of the documentation for the deal.

Previous articles by Matt Storms

Matt Storms: When raising capital, why use a Private Placement Memorandum?

Full article >>> lity or responsibility for any claims made or opinions expressed herein.......

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'"/> By Matt Storms 06/12/07

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