Successfully reported this slideshow.
We use your LinkedIn profile and activity data to personalize ads and to show you more relevant ads. You can change your ad preferences anytime.

ESOP feasibility analysis request list

ESOP Feasibility Analysis Data Request List

  • Be the first to comment

  • Be the first to like this

ESOP feasibility analysis request list

  1. 1. 7660 Poplar Pike, 2nd Floor Germantown, TN 38138 901.259.7979 Fax 901.682.8653 kfin@execfin.com www.execfin.com ESOP Feasibility Analysis Data Request List The information detailed below is requested with respect to ________________ and its subsidiaries (the “Company”). 1. Historical and Projected Financials - Please provide the Company’s reviewed or audited financial statements for the period FY2008 – FY2012. - Please provide the Company’s internal financial statements for the year-todate periods ended November 30, 2013 and November 30, 2012 (the “YTD Periods”). - Please provide detail for and explain any abnormal, non-recurring, or unusual items in the financial statements. - Please provide a breakdown of the compensation to each shareholder for the period FY2008 – FY2012 as well as for the YTD Periods. - Please provide a copy of the Company’s most recent tax return. - Please provide the most recent available employee census, in a Microsoft Excel file, in the attached format. - Please provide a copy of the Company’s budget for FY2014, if available. - Please provide annual financial projections for the period FY2014 – FY2018. - Please provide an estimate of the Company’s capital expenditure needs throughout the projected period. 2. Ownership Structure - Please provide a breakdown of the Company’s current ownership structure. - Please provide copies of any option agreements, warrant agreements, deferred compensation agreements, or any other documents regarding items that might be considered synthetic equity. - Please provide a copy of the Company’s Articles of Incorporation as well as copies of all amendments to the original document. 3. Financing - Please provide a copy of the Company’s credit agreement with its senior lender as well as all amendments to the original document. - Please provide copies of the Company’s borrowing base certificates as of the end of each of the past 24 months. - Please provide copies of the Company’s covenant compliance certificates as of the end of each of the past 8 quarters. - Please provide copies of any existing subordination agreements, if applicable. Securities and Investment Advisory Services offered through M Holdings Securities, Inc., a Registered Investment Adviser, Member FINRA/SIPC. Executive Financial Services, Inc. is independently owned and operated. Private and Confidential
  2. 2. 4. Facilities - Please provide a real estate summary for all leased and owned locations (including physical location, size, rent paid, term, renewal options, etc.) 5. Document Requests - Please provide documentation of any offers made to purchase the Company over the past five years. - Please provide information regarding the sale/purchase of Company stock over the past five years. - Please provide copies of the employment contracts of all members of the management team, if available. - Please describe all major commitments not covered elsewhere (guarantees, warranties, leases, etc.) as of the current date. 6. Litigation and Environmental Issues - Please provide a description of all material pending or threatening litigation, administrative proceedings, arbitration or claims, by, against, or involving the Business. - Please provide a description of all environmental or contingent liabilities that would have a material adverse effect on the Company or its operations. 2 Private and Confidential

×