SPV Dictionary

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Fo Fu

Form C

The Form C is a document filed with the SEC used for equity crowdfunding through Regulation CF.  Regulation CF transactions can use an SPV structure but many Reg CF platforms do not use SPVs.

Form D (Notice of Sale of Securities)

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 […]

Form ID

SPVs are required to file a Form D with the SEC through the SEC’s EDGAR online system. In order to gain access to the EDGAR system, a CIK number and other access codes must be obtained, and an SPV Organizer obtains a CIK number and other access codes by filing a Form ID with the […]

Formation Date

Date of entity (SPV) creation on record with the jurisdiction where filed for Master and Regular/Traditional entities (SPVs).  For Series, the creation date is either the date that a Deal is in process but no later than the date that the deal closes.  For most SPV Organizers the formation date is the date they launch […]