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

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17-04 DUE DILIGENCE HANDBOOK
Forms 17-17 Through 17-20
It is critical to assess the current legal affairs of the target, which includes an analysis of the company’s inter-
nal legal department (where applicable), an assessment of its relationship with outside counsel, its current dis-
putes (threatened) or actual litigation and its compliance with regulatory requirements.
474
LEGAL ORGANIZATION
ENTITY Form 17-01
475
REF.
PREPARED BY REVIEWED BY
REVISION DATE SECTION PAGE
ORGANIZATION CHART
Organization Reports To: ______________________________________ Total Personnel: _______
COMPENSATION OF KEY LEGAL DEPARTMENT PERSONNEL
NAME / POSITION
(1)
ANNUAL
SALARY
OTHER
COMPENSATION
(2)
BASIS FOR OTHER
COMPENSATION
(3)
$
Notes: (1) Place an asterisk after the name of individuals having employment contracts.
(2) Includes cash bonuses, stock awards, etc. for the most recent annual period.
(3) For example: Total entity profits, departmental or personal goal achievement, etc.
RESUMES OF KEY LEGAL DEPARTMENT PERSONNEL
ENTITY Form 17-02
REF.
PREPARED BY REVIEWED BY
REVISION DATE SECTION PAGE
476
NAME TITLE
LEGAL DEPARTMENT ACTIVITIES
ENTITY Form 17-03
477
REF.
PREPARED BY REVIEWED BY
REVISION DATE SECTION PAGE
APPROXIMATE PERCENT OF TOTAL LEGAL HOURS EXPENDED (1)
ACTIVITY INTERNAL LEGAL STAFF OUTSIDE
LEGAL COUNSEL
Litigation where entity is plaintiff. % %
Litigation where entity is defendant. % %
Heading off potential litigation. % %
Preparation of financing agreements. % %
Preparation of real estate lease agreements. % %
Preparation of equipment lease agreements. % %
Security And Exchange Commission matters. % %
Environmental matters. % %
Other regulatory matters. % %
Patent, copyright and trade mark matters. % %
Licensing matters. % %
Labor agreements and related matters. % %
Board of directors’ matters. % %
Individual officer assistance. % %
Note: (1) Total for both columns should add to 100%.
LITIGATION SUMMARY - ENTITY IS PLAINTIFF
ENTITY Form 17-04
REF.
PREPARED BY REVIEWED BY
REVISION DATE SECTION PAGE
478
Reference Number
Date Case Filed
Defendant(s)
Cause Of Action
Relief Sought
Court Having Jurisdiction
Case Number
Presiding Official
Company’s Attorney
(Name and Firm)
Defendant’s Attorney
(Name and Firm)
Current Status
Reference Number
Date Case Filed
Defendant(s)
Cause Of Action
Relief Sought
Court Having Jurisdiction
Case Number
Presiding Official
Company’s Attorney
(Name and Firm)
Defendant’s Attorney
(Name and Firm)
Current Status

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