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Due Diligence Request List Tracker
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Due Diligence Request List
Priority
Assignee
Issue Assignee
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Category
Request
Priority
Assignee
Status
Due Date
Comments
Issues
Issue Assignee
File
1
Actions and Minutes
All shareholder actions and meeting minutes.
High
Not Started
12/1/2023
Requested from outside counsel
2
Actions and Minutes
All board actions and meeting minutes.
High
In Process
12/9/2023
Requested from outside counsel
Minutes for 11/15/2021 meeting not drafted
3
Capital Stock
A summary of the vesting schedules of any stock or options subject to vesting.
High
Not Started
12/9/2023
4
Capital Stock
Agreements relating to the purchase, repurchase, sale or issuance of securities.
Medium
Done
12/10/2023
5
Capital Stock
Agreements relating to voting of securities and restrictive share transfers.
Medium
Done
12/22/2023
6
Capital Stock
Current shareholder and optionee lists, including issuance dates and original issuance price
Low
In Process
12/9/2023
Not updated for 11/15/2021 grants
7
Capital Stock
Agreements relating to registration rights.
Medium
Done
12/16/2023
8
Capital Stock
Shareholder agreements not involving the Company, including any agreement by a shareholder relating to the sale, voting, or transfer of securities of the Company.
Medium
Not Started
12/14/2023
9
Capital Stock
Evidence of qualification or exemption under applicable federal and state blue sky laws.
Low
Done
12/16/2023
10
Capital Stock
Agreements relating to preemptive or other preferential rights to acquire securities.
High
Done
12/14/2023
11
Capital Stock
Current shareholder and optionee lists, including issuance dates and original issuance price. These lists should include any party who owns securities of the Company or has any rights regarding securities of the Company
High
Done
5/17/2023
12
Charter Documents
The Company’s current Certificate of Incorporation/Articles of Incorporation, including any amendments thereto.
High
In Process
5/1/2023
Requested from outside counsel
13
Charter Documents
The Company’s current Bylaws.
High
In Process
12/9/2023
Requested from outside counsel
14
Debt Financing
All debt instruments and credit agreements entered into by the Company, including lease financing, which are currently in effect.
Medium
Done
12/14/2023
15
Debt Financing
Any guarantees of third party obligations.
Medium
N/A
12/16/2023
None
16
Intellectual Property
Form of Proprietary Information and Invention Agreements signed by past or present employees and consultants. Any documentation relating to the transfer to the Company or any employee of any technology.
High
Done
12/9/2023
17
Intellectual Property
A list of any employees or consultants who have not signed Proprietary Information and Invention Agreements,
High
In Process
12/14/2023
Missing Bess.
18
Intellectual Property
Copies of any Proprietary Information and Invention Agreements that contain any exclusions from assignment to the Company.
High
In Process
5/14/2023
Serena excluded invention; to determine if OK.
19
Intellectual Property
A list of patents, copyrights and trademarks, and any searches relevant to such items that have been done.
High
In Process
5/9/2023
20
Intellectual Property
Any licenses or agreements of any kind with respect to the Company’s or others’ patent, copyright, trade secret or other proprietary rights, proprietary information or technology, other than licenses or agreements pertaining to “off-the-shelf” or standard products.
Medium
Done
12/14/2021
21
Legal and Regulatory
All documents and correspondence relating to any pending litigation, threatened litigation, or disputes which could potentially lead to litigation involving the Company, its executive officers or its directors
High
Done
12/9/2021
Patent troll notice from June 2020.
22
Legal and Regulatory
Any consent decrees, injunctions, judgments, other decrees or orders, settlement agreements or similar matters.
Medium
N/A
12/14/2023
None
23
Management, Employees and Consultants
Any agreements, understandings or proposed transactions between the Company and any of its employees, officers, directors, affiliates, or any affiliate thereof, including without imitation, employment agreements, indemnification agreements and any loans or guarantees.
Low
Not Started
12/16/2023
24
Management, Employees and Consultants
Consulting contracts.
Medium
In Process
12/12/2023
25
Management, Employees and Consultants
Employee benefit and profit-sharing plans, including stock option, stock purchase deferred compensation and bonus plans or arrangements and forms of stock option grants or stock purchase agreements under such plans.
Medium
In Process
12/14/2023
26
Management, Employees and Consultants
A list of officers and directors.
Low
Done
12/16/2023
27
Management, Employees and Consultants
Copies of offer letters.
Medium
Done
12/14/2023
3 out for signature
28
Management, Employees and Consultants
A list and breakdown of all outstanding accrued salary, paid time off, and reimbursable expenses.
Medium
In Process
12/14/2023
29
Miscellaneous
Any reports and studies prepared by the Company or outside consultants on the Company or its subsidiaries’ or affiliates’ business or financial condition.
Medium
Done
5/2/2023
30
Miscellaneous
Most recent audited financial statements and latest unaudited monthly financial statements.
High
In Process
5/3/2023
31
Miscellaneous
Most recent Business Plan, Offering Memorandum or similar document of the Company.
High
Done
12/9/2023
32
Miscellaneous
Any documents indicating environmental liabilities or potential environmental liabilities, including violations of any environmental laws, or agreements for indemnity or remediation of any adverse environmental conditions
Low
N/A
12/16/2023
None
33
Other Agreements
Real property leases.
Medium
In Process
12/16/2023
34
Other Agreements
Capital Lease Agreements.
Low
N/A
12/16/2023
None
35
Other Agreements
Standard forms of agreements used by the Company.
High
Done
12/9/2023
36
Other Agreements
Joint venture and partnership agreements.
High
Done
12/9/2023
37
Other Agreements
Management, service and marketing agreements.
Medium
Not Started
12/14/2023
38
Other Agreements
Confidentiality and nondisclosure agreements.
Low
Done
12/16/2023
39
Other Agreements
Medium
N/A
12/14/2023
None
40
Other Agreements
Any other agreements material to the business of the Company, or outside the ordinary course of business.
Medium
In Process
12/14/2023
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