Form D, also referred to as the Notice of Sale of Securities, is a filing requirement under Regulation D, Section 4(6), and/or the Uniform Limited Offering Exemption of the Securities Act of 1933. It is required for companies that are selling securities in reliance on a Regulation D exemption or Section 4(6) exemption provisions. The form serves as a notice to the Securities and Exchange Commission (SEC) and provides information on the company’s executive officers and stock promoters. It is filed in place of the more detailed reports required when no Regulation D exemption is used. Form D must be submitted within 15 days of the first sale of securities.
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