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Notice Of Transaction Pursuant To Corporations Code Section 25102(f) DBO-25102 F - California

Notice Of Transaction Pursuant To Corporations Code Section 25102(f) Form. This is a California form and can be used in Securities Regulation Division Blue Sky Secretary Of State .
 Fillable pdf Last Modified 12/9/2013
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STATEOFCALIFORNIA­DEPARTMENTOFBUSINESSOVERSIGHT 25102(f)-Instructions(Rev.08/13) LIMITEDOFFERINGEXEMPTIONNOTICEPACKET CORPORATIONSCODESECTION25102(f) As of July 22, 2005, the Limited Offering Exemption Notice pursuant to Corporations Code Section 25102(f) is required to be filed electronically unless a hardship exception is claimed. Please see the enclosed instructions in Section 260.102.14(f) for the information on claiming an exception to filing electronically. To file electronically, see the Department of Corporations' Web site at This packet provides information and forms to assist in the preparation and filing of a Notice of Transaction Pursuant to Corporations Code Section 25102(f). Applicable statutes have been excerpted from the California Corporations Code and Title 10, Chapter 3, California Code of Regulations to assist in this process. Please review all material prior to completing the Notice. The current Notice and Consent to Service of Process forms are provided in this packet. DO NOT RETURN THE ENTIRE PACKET; INFORMATION MATERIALS SHOULD BE RETAINED FOR YOUR FUTURE REFERENCE. Please note that the Department does not supply a receipt for submitted filing fees nor any other form of acknowledgement to confirm receipt of your filing. For confirmation of your filing, the Department's Cal-EASI database is available at for filers to view their notice approximately 30-days after filing. Your canceled check will serve as your receipt for payment of fees. If you wish an endorsed copy of the filed Notice, you must include an additional copy of the form at the time of filing, a letter requesting return of an endorsed copy and an addressed envelope. If you are claiming an exception to filing electronically, your Notice may be filed at any of our office locations either in person or by mail. If you have questions or need assistance, you may call our toll-free number, 1-866-ASK-CORP (1-866-275-2677) or visit the office nearest to your location. LOS ANGELES 90013-2344 320 West 4th Street, Suite 750 (213) 576-7500 SAN DIEGO 92101-3697 1350 Front Street, Suite 2034 (619) 525-4233 SACRAMENTO 95814-4052 980 9th Street, Suite 500 (916) 445-7205 SAN FRANCISCO 94102-5303 1390 Market Street, Suite 810 (415) 557-3787 American LegalNet, Inc. STATEOFCALIFORNIA­DEPARTMENTOFBUSINESSOVERSIGHT 25102(f)-Instructions(Rev.08/13) Page2of7 LIMITEDOFFERINGEXEMPTIONNOTICEPACKET CORPORATIONSCODESECTION25102(f) CALIFORNIA CORPORATIONS CODE Section 25102. Transactions exempt from the provisions of Section 25110. (f) Any offer or sale of any security in a transaction (other than an offer or sale to a pension or profit-sharing trust of the issuer) that meets each of the following criteria: (1) Sales of the security are not made to more than 35 persons, including persons not in this state. (2) All purchasers either have a preexisting personal or business relationship with the offeror or any of its partners, officers, directors or controlling persons, or managers (as appointed or elected by the members) if the offeror is a limited liability company, or by reason of their business or financial experience or the business or financial experience of their professional advisers who are unaffiliated with and who are not compensated by the issuer or any affiliate or selling agent of the issuer, directly or indirectly, could be reasonably assumed to have the capacity to protect their own interests in connection with the transaction. (3) Each purchaser represents that the purchaser is purchasing for the purchaser's own account (or a trust account if the purchaser is a trustee) and not with a view to or for sale in connection with any distribution of the security. (4) The offer and sale of the security is not accomplished by the publication of any advertisement. The number of purchasers referred to above is exclusive of any described in subdivision (i), any officer, director, or affiliate of the issuer, or manager (as appointed or elected by the members) if the issuer is a limited liability company, and any other purchaser who the commissioner designates by rule. For purposes of this section, a husband and wife (together with any custodian or trustee acting for the account of their minor children) are counted as one person and a partnership, corporation, or other organization that was not specifically formed for the purpose of purchasing the security offered in reliance upon this exemption, is counted as one person. The commissioner may by rule require the issuer to file a notice of transactions under this subdivision. The failure to file the notice or the failure to file the notice within the time specified by the rule of the commissioner shall not affect the availability of this exemption. An issuer who fails to file the notice as provided by rule of the commissioner shall, within 15 business days after discovery of the failure to file the notice or after demand by the commissioner, whichever occurs first, file the notice and pay to the commissioner a fee equal to the fee payable had the transaction been qualified under Section 25110. Section 25608. Fees, charge and collection; disposition (c) The fee for filing a notice pursuant to paragraph (5) of subdivision (h) of Section 25102 and the fee for filing a notice pursuant to paragraph (4) of subdivision (f) of Section 25102, in addition to the fee prescribed in those paragraphs, if applicable, shall be determined based on the American LegalNet, Inc. STATEOFCALIFORNIA­DEPARTMENTOFBUSINESSOVERSIGHT 25102(f)-Instructions(Rev.08/13) Page3of7 LIMITEDOFFERINGEXEMPTIONNOTICEPACKET CORPORATIONSCODESECTION25102(f) value of the securities proposed to be sold in the transaction for which the notice is filed and in accordance with subdivision (g), and shall be as follows: Value of Securities Proposed to be Sold $25,000 or less $25,001 to $100,000 $100,001 to $500,000 $500,001 to $1,000,000 Over $1,000,000 Filing Fee $ 25 $ 35 $ 50 $150 $300 TITLE 10, CHAPTER 3, CALIFORNIA CODE OF REGULATIONS 260.103. Exemption from Qualification of Recapitalizations and Reorganizations. (a) Pursuant to the authority contained in Section 25105 of the Code, the following transactions are exempted from the provisions of Section 25120 of the Code as not being comprehended within the purposes of the Corporate Securities Law of 1968 and the qualification of which is not necessary or appropriate in the pu
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