Templates
Investor Relations
Private Equity Due Diligence Checklist
Private Equity Due Diligence Checklist

Private Equity Due Diligence Checklist

1
Record company details
2
Copies of Corporate Records:
3
Certificate/Articles of Incorporation/Corporate By-Laws
4
Corporate Stock Documents:
5
Minute Books
6
Stock Book and Stock Ledgers
7
Stock Options, Rights, Warrants and Dividends Plans
8
Treasury Shares Documents
9
Preemptive Rights Agreements on Debt-Equity Securities
10
Intellectual Property:
11
Patents Clearance Documents
12
Copyright and Trademark Documents
13
Trade Secrets Documents
14
Copies of Major Contract/Agreements:
15
Product/Service License Agreements
16
Marketing Agreements documents
17
Independent Vendor Agreements documents
18
Lease Agreements
19
Joint Venture Projects Contracts
20
Employer-Employee (Permanent/Casual Worker) Contracts
21
Service Providers/Professional Services Contracts
22
Copies of Retirement Pension Plans/Trust Fund Contracts
23
Copies of Renewable Supply/Services Contracts
24
Copies of Agreements on Subsidiary, Joint Ventures and Partnerships
25
Copies of Promissory Notes, Loan Agreements Credit Lines
26
Copies of Mortgages, Collateral Pledges, Security Agreements and Indentures
27
Personnel/Employee Benefits Documents:
28
Copies of Employees Compensation package for the last 3 years
29
Copies of Non-competition and Non-Disclosure Agreements
30
Permits & Licenses, Environmental/Safety Issues:
31
Copies of Governmental Licenses & Permits
32
Copies of Non-Government Regulatory Agencies
33
Employee Safety and Hazards Reports/Work-related Accidents Reports
34
Copies of Materials Safety Data Sheet (MSDS)
35
Litigations, Investigations and Other Disputes:
36
Schedule and description of pending or threatened litigation, claims and other disputes
37
Description of government regulatory or administrative orders
38
Settlement agreements and Schedule of warranty claims
39
Financial Information:
40
Annual audited/unaudited financial statements
41
Copies of the 5 largest contracts for the current year
42
Current & Projected Financial Information
43
Sales Reports
44
Property, Plant and Equipment:
45
Copies of Fixed Assets Policy including depreciation methods
46
Copies of the 5 largest contracts for the current year
47
Taxes Schedules:
48
Schedule of states and local jurisdictions in which the Company currently files tax returns for the last two years
49
Schedule of comprehensive tax examinations/audits for the last 5 years