Closing Documents include agreements between the Issuer and the Investor in which the parties commit to participate in the offering and state the specific terms of the investment relationship. The Investor and/or the Issuer execute these documents as appropriate to the nature of each agreement (see an explanation below for each type of Security).
Closing documents can include the following documents. When considering an investment, please read them thoroughly and execute those requiring your signature. A complete executed set will be provided for your records. Note: each Broker-Dealer may have slightly different processes and requirements. What follows is CFG’s process, but it is likely to be like most others.
For an Equity Investment:
- Private Placement Memorandum (“PPM”)– When used, the PPM is the definitive document for the offering to describe the terms of the offering and relevant background of the Issuer. It is produced by the Issuer and is for informational purposes. No signature required.
- Joinder to the