This Potential Investor Screening Checklist and Questionnaire is used to determine
whether a potential investor meets the standards for participation in a nonpublic offering
under various federal and state securities laws. The document collects general
information about the individual, business entity or trust investors. It also asks whether
the potential investor meets the standards of an accredited investor under Regulation D
of the Securities Act of 1933. The Act provides companies with a number of exemptions
to sell its securities to accredited investors. This document should be used by a
company that offers or sells its securities.
Potential Investor Screening Checklist and Questionnaire
The information provided will be used to determine whether you meet the standards for
participation in a nonpublic offering under Section 4(2) of the Securities Act of 1933 and various
state securities laws. The information you provide will be treated confidentially. However, you
agree that the information may be released to appropriate parties as provided by law.
Section 1. General Information — to be completed by all potential investors
For Trusts, Corporate, or Company potential investors, the following questions should be
completed with regard to the individuals making the investment decision.
1. Name: ________________________________
2. Address:
Business: ________________________________________
Residence: _______________________________________
3. Contact Information:
Business Phone: _______________________________
Mobile Phone: _________________________________
Home Phone: _________________________________
E-mail: _______________________________________
4. Personal Information (to be completed by individual investors):
Date of Birth: ______________________________
Marital Status (please circle one): Married Divorced Single Widowed
Social Security Number: _________________________________
5. Employment Information:
Employer: _______________________________________
Nature/Type of Business: ______________________________
Position Held: _______________________________________
Dates Employed: _____________________________________
6. Business Entity Information (to be completed by investors who are a business entity):
Date of organization or incorporation: _____________________
T.I.N. and /or E.I.N. of Business: ________________________________
State of Business: ________________________________
Legal form of entity (please circle one):
Corporation General Partnership Limited Partnership Limited Liability Corporation
7. Trust Information (to be completed by investors who are a Trust)
Revocable Trust (If the trust does not have $5 million in assets or if the trust was
specifically formed for the purpose of this investment, identify each grantor, and indicate
under what circumstances the trust is revocable by the grantor. Also, indicate the
category that describes how each such grantor is qualified as an Accredited Investor):
_______________________________________________________________________
_______________________________________________________________________
_______________________________________________________________________
(Continue on a separate piece of paper, if necessary.)
Other type of Trust (indicate type of trust and, for trusts other than pension trusts, name
the grantors and beneficiaries):
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
(Continue on a separate piece of paper, if necessary.)
Section 2. Accredited Investor- to be completed by accredited investors
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I certify that I meet the Accredited Investor condition(s), as defined by Rule 501 of Regulation D
of the Securities Act of 1933, set forth below by initialing the applicable box.
______ A bank as defined in section 3(a)(2) of the Act, or any savings and loan association or
other institution as defined in section 3(a)(5)(A) of the Act whether acting in its individual or
fiduciary capacity; any broker or dealer registered pursuant to section 15 of the Securities
Exchange Act of 1934.
_______ An insurance company as defined in section 2(a)(13) of the Act.
_______ An investment company registered under the Investment Company Act of 1940 or a
business development company as defin