Application To Register Securities {6(A)(3)} | Pdf Fpdf Docx | Ohio

 Ohio   Secretary Of State   Blue Sky   Securities 
Application To Register Securities {6(A)(3)} | Pdf Fpdf Docx | Ohio

Last updated: 6/4/2019

Application To Register Securities {6(A)(3)}

Start Your Free Trial $ 17.99
200 Ratings
What you get:
  • Instant access to fillable Microsoft Word or PDF forms.
  • Minimize the risk of using outdated forms and eliminate rejected fillings.
  • Largest forms database in the USA with more than 80,000 federal, state and agency forms.
  • Download, edit, auto-fill multiple forms at once in MS Word using our Forms Workflow Ribbon
  • Trusted by 1,000s of Attorneys and Legal Professionals

Description

Form 6(A)(3) File Number Registration for the sale of securities representing an interest in a general partnership, limited partnership, partnership association, limited liability company, syndicate, pool, trust, tru st fund or other unincorporated association Registrant Must Not Complete. DIVISION RECORD ONLY Date Checked By Notation Fee ($50.00) Received Prior registrations checked Examined as to form Amendment requested Accepted for filing Acknowledgment sent Registration withdrawn Registration suspended Registration refused Examination requested This Registration ( Registrant Must Not Complete. ) (Section) (File) (Date) (A mount) (Description) (Price) Note: Use this form only for registering an intended future sale of securities by an issuer (other than a corporation) pursuant to the provisions of R.C. Section 1707 .06(a)(3). Separate forms must be obtained from the Division of Securities for registration pursuant to R.C. Sections 1707.06(A)(1), (2), or (4). If the space provided on this form is inadequate for full response, attach an exhibit numbered to correspond to the number of the question thereby answered. Integration: The issuer should be aware that all sales of securities before or after this filing may be subject to integration with this offering by the Division. Factors considered particularly relevant to integration include: 1) Are the offerings part of a single plan of financing? 2) Do the offerings involve issuance of the same class of security? 3) Are the offerings made at or about the same time? 4) Is the same type of consideration to be received? 5) Are the offerings made for the same general purpose? Division of Securities 77 South High Street 22 nd Floor Columbus, Ohio 43215 COM 4592 4/11 /19 An Equal Opportunity Employer and Service Provider 614 - 644 - 7381 Fax : 614 - 728 - 2846 Investor Protection Hotline: 877 - 683 - 7841 TTY/TDD : 800 - 750 - 0750 com.ohio.gov American LegalNet, Inc. www.FormsWorkFlow.com Ohio Department of Commerce Form 6 (A)(3) COMPLETE ALL ITEMS 1. Form of business organization of i ssuer : ( e.g., general partnership, limited partnership, partnership association, limited liability company, syndicate, pool, trust fund or other association.) 2. 3. (Street and Number) (City, State, Zip) (Phone) 4. organization : (Month, Day and Year) (State) 5. (a) St atutory agent: (b) If applicant is an issuer having the situs of its principal place of business outside Ohio, attach a Form 11 or a Form U - 2. 6. State specifically the actual business in which issuer is engaged or will engage: 7. State the names and addresses of the general partners, principals, managers, trustees or other persons who are charged with the management of the organization: 8. List all similar enterprises in which the issuer or its principals are engaged: 9. Describe securities (a) Authoriz ed to be issued: (b) Now issued and outstanding: 10. (a) The securities to be registered for sale in Ohio are as follows: (Describe each class to be sold): (Number) (Class) (Price per unit) (Aggregate sale price) (Number) (Class) (Price per unit) (Aggregate sale price) (b) State the maximum period of time during which the securities will be offered (Not to exceed sixteen months): American LegalNet, Inc. www.FormsWorkFlow.com Ohio Department of Commerce Form 6 (A)(3) 11. Will these securities be sold exclusively for each? YES NO If not, attach an exhibit stating: (1) what will be received for such securities: (2) the number and class of securities to be exchanged therefore; (3) the name a nd addresses of the persons who will receive such securities; and (4) a sworn appraisal by a qualified, disinterested, non - affiliated appraiser or such other proof as may be available as to the true value of such co nsideration. Designate as Exhibit 11. 12. (a) Will these securities be sold to not more than a maximum of thirty - five purchasers? ( Note : The following shall not be included among the thirty - five purchaser maximum: (a) any purchaser of at least $100,000 of the securities offered hereby; (b) any general partner, trustee, director, or executive officer of the issuer of any member in a limited liability company. If the issuer is a limited liability company in which the management is reserved to its members or manager of a limited liability company, if the issuer is a limited liability company in which the management is not reserved to its members.) (b) Will the aggrega t e commission, discount or other remuneration, excluding legal, accounting, and printing f ees, paid or given directly or indirectly in connection with the sale of these securities exceed ten percent of the initial offering price? 13. Attach the following required Exhibits. (State if a provision below is not applicable.) A. Attach a final draf t of the organizational agreement executed or to be executed. Designate this Exhibit 13 - A. B. Attach a prospectus if the aggregate amount of this offering exceeds $250,000. Designate this Exhibit 13 - B. C. ither audited or attested to by an executive officer, for the most recent fiscal year and the most recent fiscal quarter. Designate this Exhibit 13 - C. D. Attach an exhibit describing use of proceeds. Designate this Exhibit 13 - D. E. Attach a copy of all print ed material to be used in connection with the sale of securities including, but not limited to advertising, offering circulars, business plans and projections, marketing and financial analysis, and any other literature. Designate as Exhibit 13 - E. F. Attach a specimen of security to be sold. Designate as Exhibit 13 - F. G. If issuer is not domiciled in Ohio, attach From 11. (R.C. Section 1707.11.) 14. Correspondence and the Certificate of Acknowledgment for this registration should be addressed to: Name Street and Number City, State, Zip Phone Facsimile SIGNATURE This form must be signed in the name of the issuer, i.e., general partnership, limited partnership, syndicate, pool, trust or other association, limited liability company, and by the general partner, principal, manager, trustee, or other person or persons charged with the management of this enterprise. Issuer By (Titl e) By (Title) American LegalNet, Inc. www.FormsWorkFlow.com Ohio Department of Commerce Form 6 (A)(3) VERIFICATION (Verification by One Person is Sufficient) County of State of The undersigned, being first duly sw orn, deposes and says: That he has executed the foregoing for, an on behalf of, the applicant named therein; that he is of such applicant and is fully authorized to execute and file such application; that he is familiar with such application and the facts underlying such application; and that to the best of his knowledge, information and belief, the statements made in such application are true and the documents submitted herewith are true copies of the original thereof. Subscribed and sworn to before me Signature of Person Sworn Office Held Month, Day and Year Signature of Notary Public A Certificate of Acknowledgment will be mailed at effectiveness in seven business days pursuant t o R.C. Section 1707.08 if the registration by description is not suspended or refused pursuant to R.C. Sections 1707.13 or 1707.131. No form can be returned for correction, nor can a refund be made of filing fees. Submit completed registration together w ith $50.00 fee to Division of Securities, 77 South High Street, Floor 22, Columbus, Ohio 43215 - 6131. COM 4592 4/11/19 American LegalNet, Inc. www.FormsWorkFlow.com

Related forms

Our Products