Private Equity and Venture Capital Legal Forms

There are 240 private equity and venture capital legal forms contained within The Encyclopedia of Private Equity. These forms include hideable expert commentary and may be viewed online or downloaded in Microsoft Word (.doc) format. A star () denotes premium content available to encyclopedia subscribers only.

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• 40 - Forms
• 40.1 - Mergers & Acquisitions (M&As)
• 40.1.1 - Agreement And Plan Of Merger: Reverse Triangular Merger
• 40.1.2 - Agreement To Purchase 100% Of Target Stock
• 40.1.3 - M&A Agreement: LLC Acquired by a SPAC
• 40.2 - Venture And PE Fund Formation And Operation
• 40.2.1 - Agreement Of Limited Partnership (Investor Partnership)
• 40.2.2 - Board of Advisors Agreement: (Scientific and Clinical)
• 40.2.3 - Agreement to Remit Portfolio Company Compensation to the Management Company
• 40.2.4 - Form of Guaranty of Clawback by Individual GP Members
• 40.2.5 - First Refusal Agreement
• 40.2.6 - Limited Partnership Agreement: Front End Loaded - Allocations and Distributions Deal-by-Deal
• 40.2.7 - Limited Partner Subscription Agreement
• 40.2.8 - Limited Partnership Agreement: Administrative Provisions
• 40.2.9 - Limited Partnership Agreement: Capitalization
• 40.2.10 - Limited Partnership Agreement: Definitions
• 40.2.11 - Limited Partnership Agreement: Dissolution and Liquidation
• 40.2.12 - Limited Partnership Agreement: Distributions
• 40.2.13 - Limited Partnership Agreement: Formation
• 40.2.14 - Limited Partnership Agreement: General Provisions
• 40.2.15 - Limited Partnership Agreement: Liability and Indemnification
• 40.2.16 - Limited Partnership Agreement: Miscellaneous Tax And Regulatory Compliance Provisions
• 40.2.17 - Limited Partnership Agreement: Transfers and Withdrawals
• 40.2.18 - Management Agreement Direct to GP
• 40.2.19 - Management Agreement Pass Through for Fund Partnership Agreements
• 40.2.20 - Management Rights Letter
• 40.2.21 - Non Disclosure Agreement: Venture Capital Fund and Prospective Portfolio Investment
• 40.2.22 - Non Disclosure and Development Agreement
• 40.2.23 - Partnership Organization Under RULPA (Standard Partnership Opinion)
• 40.2.24 - Partnership Status Under the Code (Opinion of Counsel)
• 40.2.25 - Side Letter with State Pension Plan Trustee
• 40.2.26 - Trade Or Business Issue (Opinion Of Counsel)
• 40.2.27 - General Indemnity Agreement
• 40.2.28 - General Management Stockholder's Agreement
• 40.2.29 - Subscription Agreement (Management Stockholder)
• 40.3 - Private Equity Investing
• 40.3.1 - Agreement Of General Partnership (General Partner)
• 40.3.2 - Alternative Term Sheet B Round (Cram Down Features)
• 40.3.3 - Bring Down Certificate - Equity Finance
• 40.3.4 - Common Stock Subscription Agreement (Acme Corp.)
• 40.3.5 - Common Stock Warrant
• 40.3.6 - Common Stock Warrant (Alternate Version)
• 40.3.7 - Common Stock Warrant: Private Company; Issuer Favorable (Short Form)
• 40.3.8 - Company Valuation
• 40.3.9 - Convertible Note - Subscription Agreement
• 40.3.10 - Convertible Preferred Stock Purchase Agreement
• 40.3.11 - Convertible Promissory Note
• 40.3.12 - Due Diligence Checklist
• 40.3.13 - Due Diligence Checklist (West Coast Version)
• 40.3.14 - Due Diligence Guidelines (IPO)
• 40.3.15 - Founders Representation Letter
• 40.3.16 - Letter of Intent
• 40.3.17 - Memorandum Regarding Procedures For Offering And Sale Of Shares
• 40.3.18 - Memorandum Regarding the Procedures for Offering and Sale of Shares in NEWCO, Inc.
• 40.3.19 - Motion Picture/Film Investment Agreement
• 40.3.20 - Motion Picture/Film: Risk Factors
• 40.3.21 - Opinion of Issuer's Counsel (Alternate Version)
• 40.3.22 - Placement Agent Agreement
• 40.3.23 - Placement Agent Agreement Form
• 40.3.24 - Preferred Stock Purchase Warrant
• 40.3.25 - Private Placement Memorandum
• 40.3.26 - Purchase Agreement (Rule 144A And Regulation)
• 40.3.27 - Registration Rights Agreement
• 40.3.28 - Registration Rights Agreement (Short Form)
• 40.3.29 - Restrictions on Transfer
• 40.3.30 - Right of First Refusal and Co-Sale
• 40.3.31 - Rights of First Refusal: Long Form
• 40.3.32 - Sample Private Placement Memorandum (Nanotech and Biotech)
• 40.3.33 - Schedule Closing
• 40.3.34 - Seller's Certificate Of Representations And Performance
• 40.3.35 - Series A-1 Term Sheet (Higher Valuation, Same Terms)
• 40.3.36 - Shareholders' Agreement
• 40.3.37 - Shareholders' Agreement (Alternate Version)
• 40.3.38 - Stock Purchase Agreement (Short Form Providing for Option to Purchase Additional Shares)
• 40.3.39 - Stock Appreciation Rights Agreement
• 40.3.40 - Second Stock Appreciation Rights Agreement
• 40.3.41 - Stock Purchase Agreement - Series A Preferred
• 40.3.42 - Stock Purchase Agreement (Series A)--Biotech
• 40.3.43 - Stock Purchase Agreement Form
• 40.3.44 - Stockholder's Agreement
• 40.3.45 - Stockholders Agreement Amended
• 40.3.46 - Term Sheet - EBIDTA Milestones
• 40.3.47 - Term Sheet (Neutral to Investors and Issuer)
• 40.3.48 - Term Sheet (West Coast Version)
• 40.3.49 - Term Sheet For Convertible Promissory Notes
• 40.3.50 - Term Sheet Form For Placement of Convertible Preferred
• 40.3.51 - Term Sheet--Series A Round
• 40.3.52 - Term Sheet: Series A Preferred Stock (with Milestone Provisions)
• 40.3.53 - Term Sheet: Series A Preferred Stock--Medical Device NewCo
• 40.3.54 - Term Sheet: Series B Preferred Stock
• 40.3.55 - Voting, Right of First Refusal and Co-Sale Agreement
• 40.3.100 - Series A Legal Package I
• 40.3.101 - Series A Legal Package II
• 40.3.102 - Preferred Share Purchase Agreement
• 40.3.103 - Certificate Of Designation Of Series A Preferred Stock
• 40.3.104 - Share Purchase Agreement
• 40.3.105 - Restricted Stock Unit Grant Notice (BioTech)
• 40.3.106 - Common Stock Purchase Warrant
• 40.3.107 - Stock Purchase Agreement - between English and American Cos.
• 40.3.108 - Equity Incentive Plan
• 40.3.109 - Convertible Promissory Note; Interest Payable In Common Stock
• 40.3.110 - Convertible Promissory Note - general
• 40.3.111 - Equity Incentive Plan Restricted Stock Purchase Agreement
• 40.3.112 - Incentive Award Plan
• 40.3.113 - Subscription Booklet to invest in an Investment Fund
• 40.3.114 - Subscription Agreement, Long Form
• 40.4 - Corporate Organizations
• 40.4.1 - Agreement of Indemnification of Directors and Officers
• 40.4.2 - Application To Register In New York
• 40.4.3 - By-Laws
• 40.4.4 - Certificate of Designation (Series A Convertible Preferred)
• 40.4.5 - Certificate of Incorporation
• 40.4.6 - Certificate of Incorporation (Delaware)
• 40.4.7 - Bylaws (Delaware Corp.)
• 40.4.8 - Confidentiality Agreement (Short Form)
• 40.4.9 - Confidentiality Agreement: Long Form
• 40.4.10 - Director's Consent (Unanimous Written Consent in Lieu of First Meeting)
• 40.4.11 - Directors and Officers Questionnaire
• 40.4.12 - Indemnification Agreement (Compact Form)
• 40.4.13 - Indemnification Agreement 2008
• 40.4.14 - Indemnification Trust Agreement
• 40.4.15 - Industry Sponsored Research Agreement
• 40.4.16 - Secretary's Certificate And Board Resolutions
• 40.4.17 - Written Consent In Lieu Of Organizational Meeting
• 40.4.18 - Amended And Restated Bylaws Of [Corporation]
• 40.4.19 - Bylaws Of [Corporation] - Another Example
• 40.4.20 - Bylaws of XYZ. Inc.
• 40.5 - Limited Liability Companies (LLCs)
• 40.5.1 - Certificate of Formation
• 40.5.2 - Limited Liability Company Agreement
• 40.5.3 - LLC Agreement for Advisers Fund
• 40.5.4 - LLC Agreement: Long Form
• 40.5.5 - LLC Operating Agreement (Delaware) (Long Form)
• 40.5.6 - LLC Operating Agreement (Delaware) (Short Form)
• 40.5.7 - Second Amended LLC Agreement: Long Form
• 40.6 - Employment Consultant Agreements
• 40.6.1 - Buy-Sell Agreement
• 40.6.2 - Consulting Agreement--Independent Contractor for BioTech Startup (Short Term, High Level Executive)
• 40.6.3 - Employee Compensation: Commission Only Salesman
• 40.6.4 - Incentive Stock Option Agreement (Alternate Version)
• 40.6.5 - Non-Competition Agreement
• 40.6.6 - Restricted Stock Agreement
• 40.6.7 - Software Professional Service Contract (Pro-Consultant)
• 40.6.8 - Stock Plan (Alternate Version)
• 40.6.9 - Controller Employment Letter
• 40.6.10 - General Employment Agreement for Executive VP
• 40.6.11 - General Employment Agreement for CTO
• 40.6.12 - General Employment Agreement for Senior VP Sales
• 40.6.13 - Incentive Stock Option Agreement (Another Version)
• 40.6.14 - Notice of Stock Option Grant
• 40.6.15 - Option Agreement (Caymans)
• 40.6.16 - Stock Option Agreement
• 40.6.17 - Stock Option Grant Notice
• 40.6.18 - Independent Contractor Agreement - General
• 40.7 - Business Plans
• 40.7.1 - Business Plan For Acme Corporation
• 40.8 - Intellectual Property
• 40.8.1 - Mutual Confidentiality Agreement
• 40.8.2 - Mutual Nondisclosure And Confidentiality Agreement
• 40.8.3 - NDA Between For-Profit and Not-For-Profit Entities
• 40.8.4 - Trademark Security Agreement
• 40.9 - Debt Financing
• 40.9.1 - Intercreditor Agreement
• 40.9.2 - Pledge and Security Agreement
• 40.9.3 - Promissory Note
• 40.9.4 - Second Priority Senior Secured Floating Rate Notes
• 40.10 - Miscellaneous Forms
• 40.10.1 - Accountants' Letter
• 40.10.2 - Underwriting Agreement For IPO (Incl. Insider Secondary Sales and Options to Underwriters)
• 40.10.3 - Agreement to Lockup
• 40.10.4 - Referral Letter Agreement
• 40.10.5 - OEM Purchase Agreement
• 40.10.6 - Fairness Opinion
• 40.10.7 - Action By Consent Of Stockholders Anticipating IPO
• 40.10.8 - Agency Agreement: Asset Sale (Private)
• 40.10.9 - Resolutions Of Board Anticipating IPO
• 40.10.10 - Underwriter's Letter Of Intent
• 40.10.11 - Advisory Board: Member Agreement Form
• 40.10.12 - Best Practices: Series A Round Term Sheet
• 40.10.13 - Venture Finance Forms: Cover Sheet
• 40.10.14 - Best Practice Series A Round: Investor Questionnaire
• 40.10.15 - Valuation: Resolutions of Special Meeting of the Board of Directors Establishing Fair Market
• 40.10.16 - Legal Memorandum on Section 83(b) Election
• 40.10.17 - Action of Sole Incorporator
• 40.10.18 - Founder's Agreement
• 40.10.19 - Form 83(b) Election
• 40.10.20 - Investor Rights Agreement
• 40.10.21 - Voting Agreement
• 40.10.22 - Technology Acquisition Agreement
• 40.10.23 - Initial Board Resolutions
• 40.10.24 - Action By Sole Incorporator
• 40.10.25 - Questionnaire for Public Company Managers to Complete When a Director is Nominated
• 40.10.26 - Opinion of Target's Financial Advisors
• 40.10.27 - Offer To Purchase For Cash All Outstanding Shares of Common Stock
• 40.10.28 - Form of Opinion of Target's Financial Advisors
• 40.10.29 - Revolving Credit Agreement
• 40.10.30 - Information Statement Relating To Merger
• 40.10.31 - Code Of Business Conduct And Ethics
• 40.10.32 - Executive Retention Agreement
• 40.10.33 - Executive Success Sharing Plan
• 40.10.34 - General Net Lease
• 40.10.35 - Severance Protection Agreement
• 40.10.36 - Term Loan And Security Agreement
• 40.10.37 - Letter to Employees Announcing a Merger
• 40.10.38 - Foreign Corrupt Practices Act (FCPA) Certification
• 40.10.39 - Membership Interest Grant Agreement
• 40.11 - Forms for LBOs
• 40.11.1 - LBO: Letter of Intent
• 40.11.2 - LBO: Agreement and Plan of Merger
• 40.11.3 - LBO: Initial Investment Bank Agreements
• 40.11.4 - LBO: Loan Commitment Letter
• 40.11.5 - LBO: Investment Bank Fairness Opinion
• 40.11.6 - LBO: Agency/Financial Adviser Agreement
• 40.11.7 - LBO: Participation Agreement
• 40.11.8 - LBO: Forward Underwriting Commitment Letter
• 40.11.9 - LBO: Term Loan Agreement [Senior Secured]
• 40.11.10 - LBO: Senior Secured Floating Rate Notes
• 40.11.11 - LBO: Asset-Based Revolving Credit Agreement
• 40.11.12 - LBO: Secured Promissory Note
• 40.11.13 - LBO: Senior Indenture Agreement
• 40.11.14 - LBO: Indenture Note
• 40.11.15 - LBO: Senior Subordinated Note Indenture
• 40.11.16 - LBO: Note Purchase Agreement
• 40.11.17 - LBO: Convertible Note Purchase Agreement
• 40.11.18 - LBO: Convertible Promissory Note and Security Agreement
• 40.11.19 - LBO: Term Loan Security and Intercreditor Agreement
• 40.11.20 - LBO: Asset-Based Revolver Pledge And Security Agreement
• 40.11.21 - LBO: Intercreditor Agreement
• 40.11.22 - LBO: Lien Subordination and Intercreditor Agreement
• 40.11.23 - LBO: Patent Security Agreement
• 40.11.24 - LBO: Credit Agreement
• 40.11.25 - LBO: Forbearance Agreement
• 40.11.26 - LBO: Form of Guaranty
• 40.11.27 - LBO: Registration Rights Agreement
• 40.11.28 - LBO: Stockholder Agreement
• 40.11.29 - LBO: Guarantor Resolutions
• 40.11.30 - LBO: Resolutions Of The Board Of Target
• 40.11.31 - LBO: Sample Schedule 13E-3