Security Campaign Builder - 8 - SEC Form C - Signature - Documents - Filer Info - Preview
The Signature tab of the Form C builder requires specific signatures. As stated with the instructions on the page, the following individuals are required to sign the form:
- Individual who will sign on behalf of the company (with the company listed in the “Issuer” field)
- Principal executive officer or officers
- Principal financial officer
- Controller or principal accounting officer
- Majority of Members and/or Directors of the company
Consult with your legal counsel if you do not have people in some of the capacities listed and aren’t sure how to proceed.
You may need to add additional documents to a Form C filing. The Documents tab can be used for this. The SEC system accepts two forms of attached documents – either labeled as “Graphic” for image files, or “EX-99” for basically anything else. Once you’ve uploaded any necessary supporting documents, you can add a short description explaining what the document is if you desire. The SEC system has specific requirements on document names as well, keep names short and simply and use “_” instead of spaces in the names.
The Filer Info tab relates to your company identification information in the SEC system. The CIK is an identification key given to your company by the SEC. This key identifies your company in every filing you make with the SEC. With a CIK, you can generate a CCC which is a security code you can use to upload filings to the SEC’s system. If you have not previously requested this information, you can find out more about the process and where to begin here.
If you have previously filed a form with the SEC and the form you are creating through Umergence will need to reference this previous filing, you can add the File Number to associate the forms with each other. This field can be skipped when the current form does not need to reference a previously filed form.
This tutorial continues for the next section of the campaign builder here.