Technology

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First Form D

A Form D is filed for a company with no prior filing.

Details
Standard cover
Probable gap
Needs
SEC EDGAR Form D
Exposure
Outside money means outside directors, and the investor's own counsel usually makes D&O a closing condition rather than a later purchase.
Window
Due within 15 days of first sale, so the round is already closed
Misfires
Priced rounds that skip Reg D never file one, so absence proves nothing.

Named in a breach notification

A state attorney general publishes a notification naming the company.

Details
Standard cover
Usually excluded
Needs
State Breach Notifications
Exposure
The incident is public and the claim is live. What is open is whether the cyber tower covers notification costs and regulatory defence, which is where these run up.
Window
Filed within the state's notification deadline
Misfires
The filer may be a vendor reporting on a customer's behalf.