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1. Articles of Incorporation/ Amendments/ Restatements
2. Bylaws/ Amendments/Minutes/Committees (minutes thereof)
3. Current Stock authorized/issued (all classes)
4. Stock Transfers Ledger
5. Buy-Sell agreements/ Shareholder agreements
6. Stock restriction agreements
7. Voting Trusts (voting trusts cum voting agreements, if any there be)
8. Oral agreements pertaining to any of the above items
Asset Documentation
09. Real property deeds
10. Legal descriptions of all real properties owned
11. Real property leases
12. Legal descriptions of all real properties occupied
13. Legal descriptions of all general assets
14. Bills of Sale (for, e.g., equipment, inventory, stock in trade)
15. Automobile and truck registrations
16. Automobiles and trucks owned
17. Automobiles and trucks leased
18. List and describe automobiles and trucks leased
19. Other vehicle/ vessel/ rolling equipment or machinery leases
20. List/ description of other vehicle/ vessels/ rolling equipment or machinery
21. Office equipment leases
22. List/ description of office equipment leased
23. Industrial equipment leases
24. List/ description of industrial equipment leased
25. Furniture leases
26. List/ description of furniture
27. Patent/ trademark/ service mark registrations (federal and/or state)
28. List/ description of patents, trademarks and service marks
29. Bills of Lading (for, e.g., equipment, stock in trade)
30. List/ description of inventory/ stock in trade (type, item and location)
31. List/ description of raw materials on hand
32. List/ description of raw materials on order
33. Other leases or use agreements not mentioned above
34. List any other assets including intellectual property
Debt Structure Documentation--Encumbrances
35. Deeds of Trust
36. Security agreements
37. UCC-1 financing statements
38. Stock pledge agreements
39. Loan documents (including applications)
40. Notes made or held by the Company
41. Line of credit agreements (including applications)
42. Guarantees and/or Hold Harmless agreements(company and personal)
43. Notices of default: demands for indemnification; subrogation liens
44. Oral agreements pertaining to any of the above items
Federal and/or State Licensing Documentation
45. City business licenses/ permits
46. City industrial/ occupational permits
47. State industrial/ occupational permits
48. State licenses/ permits
49. Federal licenses/ permits
50. Correspondences to/ from any state or federal regulatory agency
Agreements: Commercial Transactions & Contracts
51. License/licensing agreements
52. Royalty agreements
53. Patent/ trademark/ service mark assignments
54. Dealership agreements
55. Distributorship/franchise agreements
56. Vendor agreements
57. Supplier agreements
58. Consulting agreements
59. Employment agreements
60. Independent contractor agreements
61. Asset sale/ purchase agreements
62. Employee stock sale/ purchase agreements/ESOP's
63. Employee stock subscription agreements
64. Employee stock option plans
65. Employee stock option agreements
66. Pension/ profit sharing trust or agreements
67. Medical/ reimbursement plans/ agreements
68. Trust indentures
69. Oral agreements pertaining to any of the above items
Litigation: Past, Present & Anticipated/Threatened
70. Plaintiff suits- pleadings, discovery
71. Defendant suits- pleadings, discovery
72. Attorney audit response letters
73. Demand letters/threats of suit received/ sent
74. Labor board proceeding documents
75. Administrative court proceeding documents
76. Notices of default received
77. Foreclosure/ private sale documents
78. Collection letters/ dunning letters utilized
79. Collection letters/ dunning letters received
80. Bankruptcy filing documents
Financial Statements & Related Documentation
81. Three (3) years prior state tax returns
82. Three (3) years prior Federal tax returns
83. Franchise tax board notices/ correspondence
84. Franchise tax board suspension/ revivor documents
85. Real property tax assessment notices/ documents
86. Personal property/ business equipment tax assessments
87. Three (3) years prior financial statements
88. Interim financial statements
89. Tax delinquency notices
90. Audit inquiry response letters
91. Summary of all deposit accounts
92. Six (6) month prior bank statements (all accounts)
93. Daily check registers/ account books (including computerized data)
94. General ledger books (including computerized data)
95. Special account ledger books
96. Complete record or reconciliation of accounts
97. Daily and weekly chronological financial records
98. Copy of credit references from vendors
99. List of company credit cards and holders
100. List of vendors supplying company on account (with balances and A/R agings)
101. Ledgers showing company A/R w/agings
102. Ledgers showing company A/P w/agings
Federal and State Securities
103. State securities permits/ notices/ filings
104. State securities registrations/ qualifications
105. Federal securities registration/ offering circulars/ disclosure documents
106. Federal securities compliance documents (e.g.,10K, 10Q)
107. Correspondence to/ from the state commissioner of corporations
108. Correspondence to/ from the SEC
109. Correspondence to/ from any other local or foreign public agency
Support Staff, Support Services & Support Systems
110. Attorney correspondence and retainer letters
111. Attorney opinion letters, if any there be
112. Accountant correspondence and retainer letters
113. Accountant "working papers" for previous three years; financial statements
114. Insurance policies including business liabilities, disability, medical and workers compensation policies.
115. All management employees: names, addresses, ages, work experience, job descritpions and salary histories
116. Number of employees (full-time and part-time) and former employees (w/reasons for leaving)
117. Labor problems; unionization; strikes; collective bargaining
118. Details of employees benefits (e.g.,pensions, bonuses, retirement plans)
119. Policy manuals (all editions)
120. Company operational or procedure manuals (all editions)
121. Employee manuals (all editions)
122. Employment application and hiring forms
123. Employment disclosure documents
124. Employment growth projections or plans published (all editions)
125. Full organizational chart of company (all editions)
126. Details of all internal operations--planning function and compliance supervision
127. Management infrastructure and interface
128. Advertising and/or marketing infrastructure and interface
129. Purchasing infrastructure and interface
130. Research & Development infrastructure and interface
Competition & Technology
131. Identify all competitors
132. Identify the means by which competitors are monitored, if any there be
133. Identify Strategic Inflection Points
134. Identify Strategic Dissonance
135. Identify all persons responsible for long range planning
