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Notice Of Exempt Securities Transactions Under AS 45.55.900(b)(5)(B) Form. This is a Alaska form and can be use in Blue Sky Secretary Of State.
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Tags: Notice Of Exempt Securities Transactions Under AS 45.55.900(b)(5)(B), 08-107, Alaska Secretary Of State, Blue Sky
Notice of Exempt Securities Transactions
Under AS 45.55.900(b)(5)(B)
(To be filed along with the fee required at 3 AAC 08.910(6))
Please fill out this form and submit to:
Administrator of Securities
Alaska Division of Banking, Securities, and Corporations
P.O. Box 110807
Juneau, AK 99811-0807
(907) 465-2521
1. Name, Address, and Telephone number of contact person filing this notice:
Full Name
Address
Phone
Fax
The person signing this form must show name & address above. If different from the
contact person, show information on signer as well.
2. Name, Address, and Telephone number of Issuer Entity requesting exemption:
Name of Entity
Address
Phone
3. q Yes q No
Formed, or to be formed, as an Alaska domestic (Corporation, LP, LLP, or
LLC) under Alaska Statutes Title 10 or Title 32.
4. Please provide a brief description of terms of the offering (including security and price). If
more space is needed, use page two or include attachments.
5. Date sales are to commence:
(may not be sooner than 2 days after the filing
date of the exemption notice or as determined by the administrator)
6. Describe any special circumstances you ask the administrator to consider. If more space is
needed, use page two or include attachments. Waiver requests must include full disclosure to the
administrator of the facts and relevant material factors relating to the request.
08-107 (rev. 8/01)
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By filing this document, I affirm the following:
Sales will be made to no more than 25 persons in this state other than those designated at
AS45.55.900(b)(4) during the 12 consecutive-month-period-of-effectiveness regardless of whether the
seller or any of the buyers is then present in this state. It is understood that “in this state” has the same
meaning as that phrase is used at AS 45.55.980(c) (See Attachment A below, do not return to agency);
Sales will be made solely in this state which is understood to mean that the issuer meets the criteria of
17 C.F.R. 230.147(c) (See Attachment B below, do not return to agency);
Before a sale, the prospective buyer will be furnished access to information sufficient to make an
informed investment decision. That information must satisfy the requirement of AS 45.55.900(b)(5)(B)(ii),
and will be furnished to the administrator at the administrator’s request;
Commissions or other remuneration meet the requirements of AS 45.55 and will be made only to
persons registered under AS 45.55.040;
A legend will be placed on the certificate or other document evidencing ownership of the security,
stating that the security is not registered under The Alaska Securities Act, AS 45.55, and cannot be resold
without registration under AS 45.55 or exemption from such registration;
A signed agreement will be obtained from each buyer at the time of sale or before that the buyer is
buying for investment purposes and that the securities will not be resold without registration or exemption
under AS 45.55;
Offers will be made without public solicitation or advertisement;
This notice filing is the notice required under AS 45.55.900(b)(5)(B)(vii), and must be in the hands of
the administrator, together with the fee described at 3 AAC 08.910(6), at least two days before any
sales are made, unless the two-day waiting period is waived by the administrator in the order of
effectiveness; and
The offering will comply with the limitations of 3 AAC 08.910(3)(E).
Under AS 45.55.160, It is UNLAWFUL to file with the Administrator of Securities any document that would
make, or cause to be made, an untrue or misleading statement of material fact or omit to state a material
fact necessary so as to make the statement made not misleading.
Signature of attorney or principal ( please describe which)
Title
Date
E-mail address (to receive notice of effectiveness):
Additional space (Please refer to ¶ number being amplified):
08-107 (rev. 8/01)
For Office Use only
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