Application For Retroactive Qualification Of Securities Sold Without Compliance {39}

Form 39 - APPLICATION FOR QUALIFICATION OF SECURITIES PREVIOUSLY SOLD IN OHIO WITHOUT COMPLIANCE WITH SECTION 1707.01 TO 1707.45, INCLUSIVE, REVISED CODE OF OHIO (SECTION 1707.39, REVISED CODE). This form is used to bring into compliance securities that were previously sold in Ohio without adhering to the state’s securities laws. Filed with the Ohio Division of Securities, this form allows an issuer to retroactively qualify securities that were improperly or illegally sold within the state. The application requires detailed information about the issuer, including its legal structure, incorporation details, and existing securities. It also asks for specifics regarding the securities sold—such as type, pricing, sale dates, and involved parties—as well as disclosures about officers, directors, promoters, and any commissions paid. In addition, several exhibits must be attached, such as corporate governance documents, financial statements, subscription agreements, and materials used in connection with the sale of the securities. The applicant must also submit applicable filing and qualification fees. www.FormsWorkflow.com