Official Federal Forms > Securities And Exchange Commission
Form F-7 Registration Statement Under The Securities Act Of 1933 (SEC2289) F-7 - Official Federal Forms
| Form F-7 Registration Statement Under The Securities Act Of 1933 (SEC2289) Form. This is a national form and can be used in Securities And Exchange Commission . |
|
||||||
 Get this form for FREE as a print-only pdf |
|||||||
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 20% $33529$/ 3235-0383 OMB Number: Expires: $SULO 3, 201 Estimated average burden hours per response. ...... . . . 4.0 FORM F-7 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ([DFW QDPH RI 5HJLVWUDQW DV VSHFLILHG LQ LWV FKDUWHU 7UDQVODWLRQ RI 5HJLVWUDQW¶V QDPH LQWR (QJOLVK LI DSSOLFDEOH 3URYLQFH RU RWKHU MXULVGLFWLRQ RI LQFRUSRUDWLRQ RU RUJDQL]DWLRQ 3ULPDU\ 6WDQGDUG ,QGXVWULDO &ODVVLILFDWLRQ &RGH 1XPEHU LI DSSOLFDEOH ,56 (PSOR\HU ,GHQWLILFDWLRQ 1XPEHU LI DSSOLFDEOH $GGUHVV DQG WHOHSKRQH QXPEHU RI 5HJLVWUDQW¶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¶V VKHOI SURVSHFWXV RIIHULQJ SURFHGXUHV FKHFN WKH IROORZLQJ ER[ 6(& Persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. American LegalNet, Inc. www.FormsWorkFlow.com CALCULATION OF REGISTRATION FEE* 7LWOH RI HDFK FODVV RI VHFXULWLHV WR EH UHJLVWHUHG 3URSRVHG PD[LPXP RIIHULQJ SULFH SHU XQLW 3URSRVHG PD[LPXP DJJUHJDWH RIIHULQJ SULFH $PRXQW WR EH UHJLVWHUHG $PRXQW RI UHJLVWUDWLRQ IHH 6HH *HQHUDO ,QVWUXFWLRQ ,,) IRU UXOHV DV WR FDOFXODWLRQ RI WKH UHJLVWUDWLRQ IHH ,I DV D UHVXOW RI VWRFN VSOLWV VWRFN GLYLGHQGV RU VLPLODU WUDQVDFWLRQV WKH QXPEHU RI VHFXULWLHV SXUSRUWHG WR EH UHJLVWHUHG R Q WKLV UHJLVWUDWLRQ VWDWHPHQW FKDQJHV WKH SURYLVLRQV RI 5XOH VKDOO DSSO\ WR WKLV UHJLVWUDWLRQ VWDWHPHQW GENERAL INSTRUCTIONS I. Eligibility Requirements for Use of Form F-7 $ )RUP ) PD\ EH XVHG IRU WKH UHJLVWUDWLRQ XQGHU WKH 6HFXULWLHV $FW RI WKH ³6HFXULWLHV $FW´ RI WKH 5HJLVWUDQW¶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nstruction )RU SXUSRVHV RI WKLV )RUP ³IRUHLJQ SULYDWH LVVXHU´ VKDOO EH FRQVWUXHG LQ DFFRUGDQFH ZLWK 5XOH XQGHU WKH 6HFXULWLHV $FW & ,I WKH 5HJLVWUDQW LV D VXFFHVVRU 5HJLVWUDQW VXEVLVWLQJ DIWHU D VWDWXWRU\ DPDOJDPDWLRQ PHUJHU DUUDQJHPHQW RU RWKHU UHRUJDQL]DWLRQ UHTXLULQJ WKH YRWH RI VKDUHKROGHUV RI WKH SDUWLFLSDWLQJ FRPSDQLHV D ³EXVLQHVV FRPELQDWLRQ´ WKH 5HJLVWUDQW VKDOO EH GHHPHG WR PHHW WKH PRQWK UHSRUWLQJ UHTXLUHPHQW DQG WKH PRQWK OLVWLQJ UHTXLUHPHQW RI ,% DERYH LI WKH WLPH WKH VXFFHVVRU 5HJLVWUDQW KDV EHHQ VXEMHFW WR WKH FRQWLQXRXV GLVFORVXUH UHTXLUHPHQWV RI DQ\ VHFXULWLHV FRPPLVVLRQ RU HTXLYDOHQW UHJXODWRU\ DXWKRULW\ LQ &DQDGD ZKHQ DGGHG VHSDUDWHO\ WR WKH WLPH HDFK SUHGHFHVVRU KDG EHHQ VXEMHFW WR VXFK UHTXLUHPHQWV DW WKH WLPH RI WKH EXVLQHVV FRPELQDWLRQ LQ HDFK FDVH HTXDOV DW OHDVW FDOHQGDU PRQWKV provided, however WKDW DQ\ SUHGHFHVVRU QHHG QRW EH FRQVLGHUHG IRU SXUSRVHV RI WKH UHSRUWLQJ KLVWRU\ FDOFXODWLRQ LI WKH UHSRUWLQJ KLVWRULHV RI SUHGHFHVVRUV ZKRVH DVVHWV DQG JURVV UHYHQXHV UHVSHFWLYHO\ ZRXOG FRQWULEXWH DW OHDVW SHUFHQW RI WKH WRWDO DVVHWV DQG JURVV UHYHQXHV IURP FRQWLQXLQJ RSHUDWLRQV RI WKH VXFFHVVRU 5HJLVWUDQW DV PHDVXUHG EDVHG RQ SUR IRUPD FRPELQDWLRQ RI VXFK SDUWLFLSDWLQJ FRPSDQLHV¶ PRVW UHFHQWO\ FRPSOHWHG ILVFDO \HDUV LPPHGLDWHO\ SULRU WR WKH EXVLQHVV FRPELQDWLRQ ZKHQ FRPELQHG ZLWK WKH UHSRUWLQJ KLVWRU\ RI WKH VXFFHVVRU 5HJLVWUDQW LQ HDFK FDVH VDWLVI\ VXFK PRQWK UHSRUWLQJ UHTXLUHPHQW WKH WLPH WKH VXFFHVVRU 5HJLVWUDQW KDV EHHQ VXEMHFW WR WKH OLVWLQJ UHTXLUHPHQWV RI WKH VSHFLILHG H[FKDQJHV ZKHQ DGGHG VHSDUDWHO\ WR WKH WLPH HDFK SUHGHFHVVRU KDG EHHQ VXEMHFW WR VXFK UHTXLUHPHQWV DW WKH WLPH RI WKH EXVLQHVV FRPELQDWLRQ LQ HDFK FDVH HTXDOV DW OHDVW FDOHQGDU PRQWKV provided, however WKDW DQ\ SUHGHFHVVRU QHHG QRW EH FRQVLGHUHG IRU SXUSRVHV RI WKH OLVWLQJ KLVWRU\ FDOFXODWLRQ LI WKH OLVWLQJ KLVWRULHV RI SUHGHFHVVRUV ZKRVH DVVHWV DQG JURVV UHYHQXHV UHVSHFWLYHO\ ZRXOG FRQWULEXWH DW OHDVW SHUFHQW RI WKH WRWDO DVVHWV DQG JURVV UHYHQXHV IURP FRQWLQXLQJ RSHUDWLRQV RI WKH VXFFHVVRU 5HJLVWUDQW DV PHDVXUHG EDVHG RQ SUR IRUPD FRPELQDWLRQ RI VXFK SDUWLFLSDWLQJ FRPSDQLHV¶ PRVW UHFHQWO\ FRPSOHWHG ILVFDO \HDUV LPPHGLDWHO\ SULRU WR WKH EXVLQHVV FRPELQDWLRQ ZKHQ FRPELQHG ZLWK WKH OLVWLQJ KLVWRU\ RI WKH VXFFHVVRU 5HJLVWUDQW LQ HDFK FDVH VDWLVI\ VXFK PRQWK OLVWLQJ UHTXLUHPHQW DQG American LegalNet, Inc. www.FormsWorkFlow.com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nstruction )RU SXUSRVHV RI WKLV )RUP WKH WHUP ³86 KROGHU´ VKDOO PHDQ DQ\ SHUVRQ ZKRVH DGGUHVV DSSHDUV RQ WKH UHFRUGV RI WKH 5HJLVWUDQW DQ\ YRWLQJ WUXVWHH DQ\ GHSRVLWDU\ DQ\ VKDUH WUDQVIHU DJHQW RU DQ\ SHUVRQ DFWLQJ RQ EHKDOI RI WKH 5HJLVWUDQW DV EHLQJ ORFDWHG LQ WKH 8QLWHG 6WDWHV ( 7KLV )RUP VKDOO QRW EH XVHG LI WKH 5HJLVWUDQW LV DQ LQYHVWPHQW FRPSDQ\ UHJLVWHUHG RU UHTXLUHG WR EH UHJLVWHUHG XQGHU WKH ,QYHVWPHQW &RPSDQ\ $FW RI II. Ap
|
|||||||
