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The AMA Handbook of Due Diligence by Andrew J. Sherman, William M. Crilly

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DUE DILIGENCE HANDBOOK v
LIST OF FORMS, CHECKLISTS, AND OTHER DOCUMENTS
*Note: all forms in this book are available as customizable Word documents. They are on the CD provided
at the back of the book.
Section 3: Overview of Entity
3-01. Background Information On Entity
3-02. Financial Summary
Section 4: Compatibility With Investment/Acquisition Objectives
4-01. Compatibility With Investment/Acquisition Objectives
4-02. Compatibility With Investment/Acquisition Criteria
4-03. Potential Impact Of External Factors
4-04. Potential Benefits From Acquisition
4-05. Potential Impact Of Locational Factors On A Prospective Investment
4-06. Characteristics You May Wish To Avoid
4-07. Why Is The Entity Available?
4-08. Comparison With Other Potential Investment/Acquisition Candidates
Section 5: Capitalization And Ownership
5-01. Summary Of Capitalization
5-02. Capitalization—Common Stock
5-03. Common Stock—Miscellaneous Information
5-04. Common Stock—Dividend Record
5-05. Common Stock—Price And Trading Volume
5-06. Common Stock—Holders Of More Than Four Percent Of Shares
5-07. Capitalization—Preferred Stock
5-08. Preferred Stock Dividend Record
5-09. Capitalization—Bonds
5-10. Bond Yields And Major Bond Holders
Section 6: Organization And Management
6-01. Board Of Directors
6-02. Board Of Directors—Other Affiliations And Compensation
6-03. Board Of Directors—Current And Prospective Security Holdings
6-04. Corporate Organization
6-05. Corporate Management Resumes
6-06. Recent Compensation History Of Corporate Management Personnel
6-07. Company Security Holdings Of Corporate Management Personnel
6-08. Organization And Management Information Requests
6-09. Board Of Directors Opinions Of Management
6-10. Board Members Apparent Position Regarding Potential Acquisition
6-11. Overall Management Assessment
6-12. Assessment Of Individual Management Personnel
Section 7: Relationships With Outside Organizations
7-01. Relationships With Accounting Firms
7-02. Relationships With Law Firms
7-03. Relationships With Commercial Banks
7-04. Relationships With Investment Banks
7-05. Relationships With Venture Capital Firms
7-06. Relationships With Private Investors And/Or Investment Groups
7-07. Relationships With Consulting Firms
7-08. Relationships With Trade Associations
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vi DUE DILIGENCE HANDBOOK
7-09. Relationships With Other Professional Organizations
7-10. Outside Organization Information Request
Section 8: Description of Products And/Or Services
8-01. Summary Of Product Lines/Services
8-02. Individual Product Line/Service Overview
8-03. Competitive Product/Service Analysis
8-04. Product Line Positioning
8-05. Identified Product And Service Improvement Projects
8-06. Potential Future Product And Service Improvement Opportunities
8-07. Recently Discontinued Products And/Or Services; Products And/Or Services Potentially Subject To
Early Termination
8-08. New Product And/Or New Service Development Projects
8-09. New Product Development—Summary Of Current Projects
8-10. Schedule Of Expenditures For Approved Development Projects
8-11. Performance On Past Development Projects
8-12. Distribution Of Company Development Funds
8-13. Source Of Total Development Funds
8-14. Trend In Development Expenditures, Salaries And Staffing Levels; Comparison Of Budget Versus
Actual Expenditures
8-15. Comparison Of Development Expenditures With Other Companies
8-16. Current Development Budget Considerations
8-17. Future Development Requirements
8-18. Accounting For Development Expenditures
8-19. Development Organization
8-20. Development Organization—Resumes Of Key Personnel
8-21. Compensation Of Key Development Personnel
8-22. Development Staffing Levels
8-23. Trend In Development Staffing
8-24. Internal Development Procedures
8-25. Current Product/Service Information Request
8-26. New Product/Service Development Information Request
8-27. Summary Of Major Development Strengths And Weaknesses
8-28. Potential Impact Of An Acquisition On The Development Organizations
Section 9: Revenues And Market Share
9-01. Trend In Total Revenues—All Products And/Or Services
9-02. Trend in Revenues By Product Line Or Service
9-03. Trend In Market Share By Individual Product Line Or Service
9-04. Revenues By Major Customer
9-05. Trend In Revenues By Customer
9-06. Revenues By Channel Of Distribution
9-07. Revenues By Distribution Channel—Direct Sales To Customers, Retailers
9-08. Revenues By Distribution Channel—Direct Sales To Industry, Government
9-09. Revenues By Distribution Channel—Sales Through Wholesale Offices, Distributors
9-10. Revenues By Distribution Channel—Through Sales Representatives, Other Channels
9-11. Revenues By Geographic Region
9-12. Trend In Revenues By Geographic Region
9-13. Trend In Revenues By Month
9-14. Seasonal Variation In Revenues
9-15. Trend In Revenues From Commercial Negotiated Contracts
9-16. Commercial Negotiated Contracts
9-17. Commercial Negotiated Contracts—Renegotiation Experience; Status Of Current Renegotiations
9-18. Trend In Revenues From Government Contracts
9-19. Government Contracts
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