Private Placement_due Diligence Requisition List

Company Letterhead

{{company_name}}

{{company_address}}

Phone: {{phone}}

Email: {{email}}

Website: {{website}}

PRIVATE PLACEMENT DUE DILIGENCE REQUISITION LIST

Date: {{date}}

To: Management of {{target_company_name}}

From: {{investor_name}}

Subject: Due Diligence Requisition List for Proposed Private Placement

1. Corporate and Legal Documentation

1.1. Certificate of Incorporation and Business Registration Documents.

1.2. Memorandum and Articles of Association (or equivalent founding documents), including all amendments.

1.3. Share register, evidencing current shareholding structure, including details of beneficial ownership.

1.4. Copies of all board and shareholder resolutions for the past three (3) years.

1.5. Details of any outstanding litigation, arbitration, or regulatory investigations (including correspondence with legal advisors and regulatory bodies).

1.6. Copies of all permits, licenses, and registrations required to operate the business in {{jurisdiction}}, along with their expiry dates.

1.7. Any material contracts, including joint venture agreements, partnership agreements, and significant supplier/customer contracts.

2. Financial Documentation

2.1. Audited financial statements for the past three (3) fiscal years, including income statements, balance sheets, and cash flow statements.

2.2. Management accounts for the current fiscal year to date, along with comparative figures for the previous year.

2.3. Detailed breakdown of revenue streams and cost structures.

2.4. Projected financial statements for the next three (3) to five (5) years, including key assumptions.

2.5. Details of all existing debt facilities, including loan agreements, security documents, and repayment schedules.

2.6. Capital expenditure plans and historical capital expenditure details.

3. Commercial and Operational Documentation

3.1. Business plan and financial model.

3.2. List of key customers and suppliers, including contract terms, if applicable.

3.3. Sales and marketing materials.

3.4. Organizational chart and details of key management personnel (CVs, employment contracts, compensation).

3.5. Intellectual property registrations (patents, trademarks, copyrights) and details of any proprietary technology.

3.6. Information on operational assets (e.g., property, plant, equipment), including ownership, leases, and current valuations.

4. Human Resources

4.1. List of all employees, including roles, salaries, and employment start dates.

4.2. Standard employment contracts and HR policies.

4.3. Details of any employee benefit schemes (e.g., provident fund, medical aid).

4.4. Information on any pending or past labour disputes.

5. Insurance

5.1. Copies of all current insurance policies, including coverage details, premiums, and expiry dates.

5.2. Details of any material claims filed in the past three (3) years.

6. Environmental, Social, and Governance (ESG)

6.1. Details of any material environmental permits or licenses.

6.2. Information on the company's approach to social responsibility and community engagement.

6.3. Overview of corporate governance structures and practices.

7. Other Information

7.1. Any other material information or documents relevant to the proposed private placement.

7.2. Details of any related party transactions.

7.3. Confirmations that all information provided is true, accurate and complete as at the date of submission.

Instructions for Submission:

Please provide all requested documents and information in a well-organized and clearly labelled format (preferably digital). Should any requested information not be applicable, please confirm the same in writing. We reserve the right to request additional information as our due diligence process progresses. Please submit all documents by {{submission_date}} to {{contact_person_name}} at {{contact_person_email}}.

Signature Block

Sincerely,

___________________________

{{investor_name}}

{{investor_title}}

{{investor_company}}