| Item |
Information Requested |
Status |
Date Received |
| 1 |
Charter documents, including all amendments. |
|
|
| 2 |
By-laws, including all amendments. |
|
|
| 3 |
List of all subsidiaries and affiliates (include entities with cross or co ownership). |
|
|
| 4 |
List of all real estate owned and leased. Please provide specific information for each separate parcel, include description of improvements if applicable. |
|
|
| 5 |
List of jurisdictions in which the company and all subsidiaries are qualified to do business. Provide evidence of qualification. |
|
|
| 6 |
List of jurisdiction where the company and any subsidiary has substantial contacts – e.g. real or personal property owned or leased, employees, sales representatives. |
|
|
| 7 |
Stock record and transfer books and copies of all stock certificates. |
|
|
| 8 |
Updated list of stockholders with current home addresses of each. i.e. Cap table |
|
|
| 9 |
List of warrants, options, calls or similar instruments with respect to any capital stock of the company. Include copies of each instrument. |
|
|
| 10 |
Copies of voting agreements, proxies, voting trusts or similar documents. |
|
|
| 11 |
Copies of buy-sell, shareholders, cross-purchase and similar agreements. |
|
|
| 12 |
Copies of any stock restriction agreements. |
|
|
| 13 |
Copies of any registration rights and similar agreements. |
|
|
| 14 |
Copies of all other agreements affecting the rights of shareholders of the company or the capital stock of the company. |
|
|
| 15 |
List of secured and unsecured creditors. |
|
|
| 16 |
Audited Financial Statements – prior 3 years and corporate tax returns. |
|
|
| 17 |
Current (interim) financial statements. |
|
|
| 18 |
In absence of audited statements: last 3 years financials; current and prior year interim financials. |
|
|
| 19 |
Copy of the registration request for all patents |
|
|
| 20 |
Copies of preliminary letter of intents with all proposed customers |
|
|
| 21 |
Résumés of all principals and board members (outside and inside). personal financials of principals that would participate in a PG. |
|
|
| 22 |
Copy of agreement with producers. |
|
|
| 23 |
Equipment list and valuation. |
|
|
| 24 |
Copy of a standard purchase order for all products. |
|
|
| 25 |
Copy of “key” man insurance contract or application for request. |
|
|
| 26 |
Accounts receivable aging by payor type if it exists. Accounts payable. |
|
|
| 27 |
Last 12 months billing and collections as it pertains to all products. |
|
|
| 28 |
Purchase orders, contracts from customers. |
|
|
| 29 |
Draft or contract with data compensation claimants if they exist or advisory board members/consultants. |
|
|
| 30 |
Copy of any loan agreements. |
|
|
| 31 |
Marketing Business Plan |
|
|
| 32 |
Financial Projections |
|
|
| 33 |
Use of proceeds |
|
|
The Due Diligence Book
As soon as we agree to work together, we will ask you to put together a Due Diligence Book. We have found this book to be a great success with investment companies who get all of your data in accessible hard copy. An example of the contents of one such book is given here. Your outline would most likely vary from this example.