Real estate investors use this technical due diligence template to list all factors and requirements that will help them make an investment decision. You can quickly adapt this checklist to the different needs of your commercial real estate projects.
Records setting forth all issuances or grants of stock, options and warrants by the Company, listing the names of the issuees or grantees, the amounts issued or granted, the dates of the issuances or grants, the number of shares presently exercisable (if applicable) and the consideration received (or to be received) by the Company in each case.
Lists of all current shareholders, including addresses and numbers of shares owned.
Numerical listing of stock certificates showing certificate number and date, name of shareholder, number of shares, date of Board approval, and permit and tracing transfers.
Lists of all options proposed to be granted, if any, including names and addresses of proposed option holders and number of options to be held by each.
Previous 3-year income and expense statements
Current and incoming year's budget
Audited financial statements
Bankline of credit agreements, including any amendments, renewal letters, notices, waivers, correspondences, etc.
Other agreements evidencing outstanding loans to or guarantees by the Company, including correspondences.
All outstanding leases for real and personal property.
Material contracts with suppliers or customers. Please indicate which suppliers are the sole source.
Agreements for loans to and any other agreements (including consulting and employment contracts) with officers, directors or employees, whether or not now outstanding.
Schedule of all insurance policies in force covering property of the Company and any other insurance policies such as ''key person'' policies, director indemnification policies or product liability policies.
Form of employee confidentiality invention assignment agreement.
Any other material contracts outstanding.
List of third-party developers showing total and type of project for each developer during the last and current fiscal years, contact names and phone numbers, together with forms of agreements entered into with third-party developers.
List of third-party software duplicators and manual publishers showing total and type of services from each duplicator and publisher during the last and current fiscal years.
Form of agreements relating to the sale or lease of material capital equipment.
List of top 20 accounts payable with contact names and phone numbers.
Copies of all market research or marketing studies conducted in the last three years.
List of the Company's competitors.
List of the Company's 20 largest customers or groups in each of the last two fiscal years, indicating the types of products and the amounts of each purchased, and contact name and phone number for each customer.
All material agency and advertising contracts to which the Company is a party.
Copies of all market research or marketing studies.
Backlog at end of the most recent fiscal year and most recent fiscal quarter.
Litigation and Audits
All letters which have been sent to auditors in connection with year-end and current interim audits, including ''litigation letters.''
Copies of any auditors' letters to management regarding internal accounting controls.
Descriptions of (and reasons for) any change in accounting methods in the past three years.
Active litigation files, including letters asserting claims, complaints, answers, etc.
Any litigation settlement documents.
Any decrees, orders or judgments of courts or governmental agencies.
Description of any warranty claims which have been made against the Company, any subsidiary, or any partnership or joint venture and the resolution of such claim.
Information regarding any material litigation to which the Company is a party or in which it may become involved.
Schedule of Hazardous Materials stored, manufactured or located at any facility of the Company either now or in the past, or that the Company ships or transports (Hazardous Materials means any substance or any material containing a substance that could be considered toxic or hazardous under law, including solvents, petroleum, pesticides, paints, asbestos containing materials, lead based batteries, radioactive materials and PCB containing transformers.)
Schedule of chemicals, toxic substances or air contaminants which are regulated present in any facility of the Company.
Schedule of any incidents involving the release of a potentially hazardous amount of any carcinogen into, or presence of asbestos in, the workplace.
Schedule of all instances in the past in which the Company has corrected unsafe working conditions.
Schedule of all the facilities of the Company that discharge waste into any body of water, stream or any sanitation systems.
Schedule of all permits or approvals obtained from any governmental body responsible for environmental or health regulation.
Schedule of all occasions in which a liquid or solid waste material or any fuel or other Hazardous Material was accidentally or intentionally spilled or released.
Any notices of violation or requests for information that have been received or threatened at any time for alleged failure of any facility to comply with applicable air pollution laws or with any air quality permit.
Copy of any internal or outside studies of the Company or the market for its products (e.g., management consultants).
Summary of all occupational health and safety inquiries (if any).
Summary of all Labor inquiries.
Summary of state, local and foreign income tax status, i.e., have all returns been filed? all taxes been paid? any audits by taxing authorities?
Permits for conduct of business, including licenses, franchises, concessions and distributorship agreements.
Please note that this checklist template is a hypothetical appuses-hero example and provides only standard information. The template does not aim to replace, among other things, workplace, health and safety advice, medical advice, diagnosis or treatment, or any other applicable law. You should seek your professional advice to determine whether the use of such a checklist is appropriate in your workplace or jurisdiction.
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