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Does founder stock issuance require a filing with the SEC?

Incorporation & entity structure

Not a registration, but the issuance has to fit a securities exemption, and some exemptions require a notice filing. State blue sky filings may also apply.

Equity to employees and advisors is covered by Rule 701 at the federal level, which carries disclosure obligations once grants pass certain thresholds.

We handle this for founders running US companies.

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Check your EIN confirmation letter (CP 575) first. If that is gone, look at a previously filed tax return, a business bank account application, or any 1099 you have issued. Your bank or your payroll provider will also have it on file.

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