DD Checklist Template
DD Checklist Template
DD Checklist Template
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2 Organization
3 Articles of Incorporation
4 Company bylaws
5 Organization Charts
6 Capital structure
7 Equity positions
Option holders Also ascertain number of not yet distributed
8
options
9 Warrant holders
10 Voting trusts
11 Other financial agreements
12 Certificate of Good Standing from state in which company is incorporated
13 List of regions in which the company is authorized to do business
14 List of regions in which the company has employees, contract relationships, l
15 List of any names (and documentation) under which the company may opera
16
17 Financial Items
18 Financial statements for previous three years Include 3rd party reports (audit firm) if available
19 Company/Auditor correspondence from previous three years
20 Credit report
21 Capital budget
22 Strategic planning documents
23 Financial schedules
24 Contingent liabilities
25 Indebtedness
26 Inventory
27 Accounts receivable
28 Accounts payable
29 Depreciation and amortization procedures and accounting methods in previou
30 Financial model containing revenue, fixed and variable expenses, and gross
Analysis of internal control procedures If public entity, include Sarbanes Oxley related
31
materials
32
33 Physical Assets
34 Listing of fixed assets and their respective locations
Any filings for Uniform Commercial Code A set of business-related laws dealing with the
sale of goods, their transportation and delivery,
35
financing, storage, payments, and various other
commercial transactions.
36 Equipment leases
37 Transactions relating to major capital equipment in previous three years
38
39 Real Estate
40 Detailed listing of business locations
41 Copies of
42 real estate leases
43 mortgages
44 deeds
45 titles
46 surveys
47 zoning approvals
48 variances
49 use permits
50
56 Documentation
57 technical know-how
58 agreements regarding inventions
59 licenses or assignments of IP to or from the company
60 patent clearance
61
64 Employees
List of employees and associated employment agreements (noncompetes, no include salary information, titles, bonuses, and
65
years employed
66 Resumes for management and key managerial personnel
67 Employee handbook outlining key benefits and holiday, vacation, and sick lea
68 Plan outlines of company-sponsored retirement plans
69 Documentation of any employee issues in previous three years (harassment,
70 Listing of any workers compensation claims
71 Lisitng of unemployment claims
72 Documentation of employee stock option and stock purchase plans informatio
73
78 Environmental Issues
79 Environmental audits relating to properties leased by the company
80 Listing of hazardous materials used by company in operations
81 Documentaiton of company procedures relating to disposal of hazardous mat
82 Listing of environmental permits and licenses
83 Correspondence relating to EPA or other regulatory agencies
84 Listing of environmental litigation of investigations or possible superfund expo
85 Listing of contingent environmental liabilities or indemnification obligations
86
87 Taxes
88 Federal, state, local, and foreign income tax returns for the last three years
89 States sales tax returns for the last three years
90 Audit and revenue agency reports
91 Any tax settlement documents for the last three years
92 Employment tax filings for three years
93 Excise tax filings for three years
94 Any tax liens
95
96 Material Contracts
97 Listing of all subsidiary, partnership, or joint venture relationships and obligat
98 Contracts between the Company and any officers, directors, 5-percent share
99 Loan agreements, bank financing arrangements, line of credit, or promissory
100 Security agreements, mortgages, indentures, collateral pledges, and similar a
101 Guaranties to which the company is a party
102 Installment sale agreements
103 Distribution agreements, sales representative agreements, marketing agreem
104 Letters of intent, contracts, and closing transcripts from any mergers, acquisit
105 Options and stock purchase agreements involving interests in other compani
106 Company?s standard quote, purchase order, invoice and warranty forms
107 Nondisclosure or noncompetition agreements to which the company is a part
108
125 Litigation
126 Listing of all pending litigation
127 Description of any threatened litigation
128 Copies of insurance policies
129 Documentation relating to any injunctions, consent decrees, or settlements
130 Listing of unsatisfied judgments
131