Notice Of Transaction Under Rule 260.105.33 And-Or 260.105.34 {DFPI-260.105.33-34}

DFPI–260.105.33/34, NOTICE TO CALIFORNIA COMMISSIONER OF FINANCIAL PROTECTION AND INNOVATION OF TRANSACTION UNDER RULE 260.105.33 AND/OR RULE 260.105.34 UNDER THE CORPORATE SECURITIES LAW OF 1968, Time to File: The notice pursuant to the exemptions from qualification under Rules 260.105.33 and 260.105.34 (Title 10, California Code of Regulations) is to be filed within 60 days after the first contractual commitment in this state to purchase the securities offered in the transaction. If one of the securities offered are sold in this state, a notice need not be filed. "Transaction." File a separate notice for each transaction. For the purposes of this notice, "transaction" means: (A) All offers and sales of securities pursuant to a registration under Section 5 of the Securities Act of 1933 [or in the case of a "shelf registration" under Rule 415 (17 C.F.R. 230.415), pursuant to a supplement to the registration] or pursuant to notice filed under Section 4(6) of that act or Regulation A, D, or E thereunder (17 C.F.R. Sections 230.251 to 230.2643, 230.501 to 230.508, and 230.601 to 230.610a). (B) Except as provided in subsection (A), the term "transaction" means all sales of securities which would constitute a single transaction, based on the discussion of "integration" in Release 33-4552 under the Securities Act of 1933. (Register 2009, No. 46) (Rev. 11-20). www.FormsWorkflow.com