IPO Due Diligence Checklist Form
Use this form to provide the information and documents needed to review a company’s readiness for an initial public offering.
Company & Contact Information
Company Name
*
Respondent Name
*
Job Title / Role
*
Email Address
*
example@example.com
Phone Number
*
Please enter a valid phone number.
Format: (000) 000-0000.
Company Website or Investor Relations Contact
IPO Readiness & Offering Details
Is the company currently preparing for an IPO?
*
Yes
No
In progress
Planned listing exchange or market
Target filing or listing timeline
-
Month
-
Day
Year
Date
Proposed offering type
Primary offering
Secondary offering
Mixed offering
Other
Internal IPO advisors or underwriters already engaged
Corporate Structure & Ownership
Legal entity name
*
Jurisdiction of incorporation
*
Parent/subsidiary structure summary
*
Major shareholders or ownership concentration summary
*
Recent reorganizations, mergers, or spin-offs relevant to the IPO?
*
Yes
No
Financial Reporting & Controls
Fiscal year-end
*
Audited financial statements available for the last 3 years?
*
Yes
No
External auditor name
*
Material accounting policy issues or restatements
Internal controls / SOX readiness status
*
Please Select
Ready
In progress
Not started
Other
Known revenue recognition or forecast concerns
Legal, Regulatory & Compliance
Outstanding regulatory inquiries or investigations?
*
Yes
No
Summary of material compliance programs or gaps
Permits and licenses required for operations
Any export, import, or sanctions-related exposure?
*
Yes
No
If yes, please explain the nature and scope of the exposure
Ongoing disclosure or reporting obligations that may affect the IPO
Governance, Board & Management
Board Composition Summary
*
Independent Directors
Executive Officers and Key Management Roles
*
Board Committees in Place
Audit Committee
Compensation Committee
Nominating Committee
Risk Committee
Other
Governance or Related-Party Concerns
Material Contracts & Business Arrangements
Summary of significant contracts and business arrangements
*
Change-of-control, termination, exclusivity, or assignment restrictions
*
Do any key agreements require consent or amendment before filing or listing?
*
Yes
No
If yes, provide details and expected timing
Intellectual Property & Technology
Summary of owned and licensed intellectual property
*
Key patents, trademarks, copyrights, or pending applications
Open-source software or technology dependency risks
Any disputes, infringements, or title issues relating to intellectual property?
*
Yes
No
Litigation, Claims & Contingencies
Are there any pending or threatened lawsuits, arbitrations, claims, or investigations?
*
Yes
No
Summary of each matter, including parties, current status, and potential exposure
*
Reserves recorded, if any, and related amounts
Insurance coverage, contingent liabilities, or other relevant disclosures for the IPO
Tax, Employees & Additional Risk Factors
Tax filing status and known tax issues
*
Employee count and key workforce risks
*
Compensation or equity plan issues relevant to the IPO
*
Additional due diligence notes, risks, missing documents, or follow-up items
Submit Due Diligence Checklist
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