Prudential Checklist

Impact & Responsible Investing

Corporate Debt

INVESTMENT CHECKLIST - CORPORATE DEBT

Investment Summary Investment Name Borrower

Transaction Description Item Organization Background/Resume

Description

Comments

Include when and why the organization was founded, business model, notable changes, value proposition, growth, or accomplishments of the business Specify uses for the requested investment along with other sources to be used Describe who are the current/ expected investors in the organization. ( For CDFI’s and other similar organizations provide primary grant funding sources)

Attachment A

Sources & Uses

Attachment B

Investor Base

N/A

Management Item

Description

Comments

Primary Individuals

Resume, expertise, and track record for key individuals and principals Resume, expertise, and track record for project- specific management team (if applicable) Include org chart and description of ownership structure Describe any management performance incentives Identify investment committee, board members, and other governing committees Describe process for resolving managerial conflicts

Attachment A

Key Roles

Attachment A

Org Chart

Attachment C

Incentives Governance

Attachment D Attachment E

Conflicts

Attachment F

Credit/Investment Item Industry/Market Overview

Description

Comments In Process

Macroeconomic factors, industry trends, competitors, substitutes, barriers to entry, cyclicality/seasonality A third-party market study will satisfy this item Balance sheet, income statement, and cash flow analysis. Audits for three years prior and management prepared year to date Projected financial results. Include base, upside, and downside case projections Organization’s or project’s full capital structure, including debt maturities and relative position of other

Historical Financials

Attachment G

Proforma

Attachment B

Capital Structure

Attachment H

1

Investment Name

Private and Confidential

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