Due Diligence - Corporate Records
Due Diligence for Compnanies Corporate Records
By
AnyDB
The Corporate Records due diligence template provides a structured checklist for gathering all relevant company formation and securities documentation. This template is essential during investment evaluations, mergers and acquisitions, or legal audits, where a complete picture of corporate governance and ownership structure is required.
Suitable for
Description
This template outlines key documentation needed to review a company’s legal and ownership framework. It includes prompts to gather stockholder records, securities issuance details, stock option plans, voting agreements, and corporate filings. Each checklist item includes space for document uploads, priority ranking, status tracking, and internal notes.
A built-in visual system highlights high-priority items and allows teams to monitor progress toward completion. This ensures stakeholders can clearly identify any missing, high-risk, or incomplete corporate documents.
Key Data Stored
- Company Legal Documents – Includes permits, filings, and certificates for securities
- Ownership Records – Stockholder lists, option plans, shareholder agreements, voting trusts
- Equity Instruments – Documentation of convertible debt, warrants, and registration rights
- Securities Plans – Offering memoranda, equity interest plans, and preemptive rights disclosures
- Document Upload Fields – For attaching all relevant files to each item
- Priority and Status Tags – Define urgency (High, Medium, Low) and track whether items are completed
- Review Notes – Optional space for commentary or clarification on each document request
Business Use Cases
- Investor Due Diligence: Helps startups organize and share corporate documentation with potential investors.
- M&A Transaction Support: Provides acquirers with critical information about ownership, securities, and governance risks.
- Legal and Regulatory Audits: Ensures all required records are accounted for and compliant with legal requirements.
- Internal Governance Reviews: Enables companies to proactively audit their own corporate recordkeeping practices.
Why This Template is Powerful
- Complete Corporate Snapshot: Covers equity, governance, and securities data in one view.
- Prioritized and Organized: Items are clearly marked by urgency and status, making it easier to manage.
- Collaboration Ready: Legal, finance, and operations teams can all contribute to completing the checklist.
- Audit Friendly: Easily exportable or presentable in a due diligence data room.
- Built for Scale: Adaptable for early-stage startups or complex multi-entity organizations.
This template makes the collection and review of corporate records clear, centralized, and collaborative—reducing the risk of delays or surprises during critical business events.