Going Public: Confidential IPO Information Questionnaire

Is your business "ready to go public?" If so, it is critical that you seek the counsel and representation of an experienced securities lawyer to guide you through the process of launching your initial public offering.

In order to do the best possible job on your behalf, your attorney needs information about you and your company. At your first substantive meeting with your securities lawyer, you should be prepared to provide some important information. Below, you will find a list of useful information that you'll want to have ready for your attorney.

Information About You

Business Address

____________________________

____________________________

____________________________

Work Phone Number

____________________________

Other Phone Number

____________________________

Fax Number

______  _____________________

E-mail Address

____________________________

Have you ever declared bankruptcy, been accused, convicted or found liable for any violation of a federal or state securities law or regulation, or entered into a consent decree with, or had an injunction granted against you by, any federal or state enforcement agency or commerce department?
(If yes, provide details)

Yes_____ No_____

Information About Your Business Partner(s)

(Your business partners, if any, should provide the same information you have provided above)

Information About the Company

Name of Company

____________________________

Business Address

____________________________

____________________________

____________________________

Phone Number

____________________________

Fax Number

____________________________

E-mail Address

____________________________

Web Site Address

____________________________

____________________________

Is the business incorporated?

Yes_____ No_____

In what state is the business incorporated?

____________________________

Is the corporation in good standing in the state of incorporation?

Yes_____ No_____

List any other states in which the corporation is authorized to conduct business:

____________________________

Is the corporation presently a Subchapter S corporation?

Yes_____ No_____

Has the company adopted any bylaws?
(If yes, provide a copy)

Yes_____ No_____

Does the corporation presently have any stock option or stock purchase plans?
(If yes, provide copies)

Yes_____ No_____

Have you maintained a corporate records book for the corporation?
(If yes, provide the book to your attorney for inspection)

Yes_____ No_____

Who are the current owners of the business, in what percentages, and for what contributions?

Owner, Percentage of Ownership, and Contribution

_________________________________________________

_________________________________________________

_________________________________________________

_________________________________________________

List the officers of the company:

Title, Name, Address, and Phone Number

_______________________________________________________________

_______________________________________________________________

_______________________________________________________________

_______________________________________________________________

Have any of the officers ever declared bankruptcy, been accused, convicted or found liable for any violation of a federal or state securities law or regulation, or entered into a consent decree with, or had an injunction granted against them by, a federal or state enforcement agency or commerce department?
(If yes, provide details)

Yes_____ No_____

List the members of the board of directors of the company:

Name, Address, and Phone Number

____________________________________________________

____________________________________________________

____________________________________________________

____________________________________________________

____________________________________________________

Have any of the directors ever declared bankruptcy, been accused, convicted or found liable for any violation of a federal or state securities law or regulation, or entered into a consent decree with, or had an injunction granted against them by, any federal or state enforcement agency or commerce department?
(If yes, provide details)

Yes_____ No_____

Who is the chairperson of the board of directors of the company?

____________________________

Are there any written or unwritten compensation arrangements or contracts between any officers or directors of the company and the company?
(If yes, provide your attorney with a copy)

Yes_____ No_____

Do you have a written Business Plan?
(If yes, provide your attorney with a copy of it)

Yes_____ No_____

Describe your present business operations:




Describe your intended business operations post-IPO:




How much money do you believe you need to raise to achieve your business growth objectives? __________

Have you offered to sell or sold any interests in your business to any investors (for instance, in a private placement)?
(If yes, provide details)

Yes_____ No_____

Have you retained any consultants, accountants or tax professionals?
(If yes, provide names, addresses, phone numbers, and details)

Yes_____ No_____

Is the business a party or potential party to any joint venture, license or similar agreement?
(If yes, provide your attorney with a copy)

Yes_____ No_____

Does the business own or lease any real estate?
(If yes, provide details)

Yes_____ No_____

Does the business have any written financial statements?
(If yes, provide your attorney with copies of the statements for the past three years)

Yes_____ No_____

Have the financial statements been audited?

Yes_____ No_____

Other Questions

(Make a list of pertinent questions to ask your securities attorney)

Next Steps

Going public requires the assistance of a legal professional. Contact a business and commercial law attorney or securities law attorney in your area today to learn more about the laws, understand the requirements to go public and more.

Next Steps

Contact a qualified business attorney to help you address the finances vital to your business.

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