Where can I find documentation that indicates my ownership of securities?



09:09 PM on October 10, 2022

Your documentation or evidence of securities ownership appears in several ways, first, as a subscription agreement that has been signed by the fundraiser's authorized persons after a campaign concludes, stock certificates, SEC beneficial ownership filings and the recorded transactions on your customer account.


Subscription Agreement 📑📝

This official company document is signed by a fundraiser's authorized signatories and details the terms of an investment agreement between you and the fundraiser. This is evidence and the fundraiser's acknowledgement of your investment in their company or venture.


SEC Beneficial Ownership Filings 🏛📥

Although Round One manages ownership records with various fundraisers via its intermediary (ESDC) as a nominee entity, we are required to submit to the SEC and to the fundraiser, a comprehensive list of ultimate beneficial owners of the securities owned by investors. Another official document and regulatory requirement, this list will record you, the investor, as ultimate beneficial owners in crowdfunded securities you have purchased.


Your Account History 💻

Your online statement of account serves as an official record of your business relationship with us. As a regulated financial intermediary, we are required by the SEC to maintain an accurate system of books and records  and obligated to settle customer complaints about account discrepancies. You should report discrepancies on your account immediately to the Round One team.


Stock Certificates 📜

With the previously mentioned records and our nominee structure, the issuance of physical stock certificates are not necessary until a secondary sale of your securities occurs. Some instruments such as SAFEs or convertible notes will not have a certificate evidencing ownership until some time in the future.