Form D is also known as the Notice of Sale of Securities and is a requirement under Regulation D, Section 4(6) and/or the Uniform Limited Offering Exemption of the Securities Exchange Act of 1933. It is a filing with the Securities and Exchange Commission (SEC) required for companies that are selling securities in reliance on a Regulation D exemption or Section 4(6) exemption provisions. Form D is a brief notice of a company’s executive officers and stock promoters, in lieu of the regular reports required when no exemption under Regulation D exists. It must be filed no later than 15 days after the first sale of securities.
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