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Facing Page For Qualification Of Noniusser Transaction By Notification Form. This is a California form and can be use in Blue Sky Secretary Of State.
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STATE OF CALIFORNIA DEPARTMENT OF BUSINESS OVERSIGHT FACING PAGE FOR QUALIFICATON OF NONISSUER TRANSACTION BY NOTIFICATION DBO260.131 (Rev. 10-17) (Department of Business Oversight use only) Fee Paid $ Effective Date FEE: $100.00 DEPARTMENT OF BUSINESS OVERSIGHT NOTICE NO. (Insert notice no. of previous filing of issuer before the Department, if any.) Date of Application: NOTE: Indicate the type of filing by checking the appropriate original or amendment application heading shown below. APPLICATION FOR QUALIFICATION OF SECURITIES UNDER SECTION 25131 OF THE CORPORATE SECURITIES LAW OF 1968 AMENDMENT NUMBERTO APPLICATION DATED (Check and complete if applicable) 1. Name of Issuer 2. (a) Address of principal executive office of issuer.Number and Street City State003 Zip code Number and Street City State003 Zip code 3. Name and address of applicant if any other than the issuer.4. Name and address of person to whom correspondence regarding this application should beaddressed.5. State whether issuer is a corporation, partnership, trust or other entity and the State ofincorporation or jurisdiction under which organized.6. Title and CUSIP number of each class or securities being qualified, e.g., $10 par valuecommon stock,\ CUSIP 123. American LegalNet, Inc. www.FormsWorkFlow.com STATE OF CALIFORNIA DEPARTMENT OF BUSINESS OVERSIGHT FACING PAGE FOR QUALIFICATON OF NONISSUER TRANSACTION BY NOTIFICATION DBO260.131 (Rev. 10-17) Page 2 of 5 (Instructions: All of the foregoing information should appear on and be the only information appearing on the facing page of the application.) INSTRUCTIONS Completion of Application. The application should continue in the number sequence shown below. Any item which is inapplicable should be listed by the number on the form, followed by the word 7.003 Describe the business done by the issuer and its subsidiaries and the general development of such business during the last three years and indicate the intended development of the business in the immediate future. Indicate any other names under which the issuer or any of its subsidiaries have conducted business during such period. 8.003 List the names and home addresses of all the directors and officers of the issuer, indicating all positions and offices held by each person named. In addition, describe any order, judgment, or decree of any governmental agency or administrator, or of any court of competent jurisdiction, revoking or suspending for cause any license, permit or other authority of such person or any corporation of which he is an officer or director, to engage in the securities business or in the sale of a particular security or temporarily or permanently restraining or enjoining any such person or any corporation of which he is an officer or director from engaging in or continuing any conduct, practice, or employment in connection with the purchase or sale of securities, or convicting such person of any felony or misdemeanor involving a security or any aspect of the securities business or of theft or of any felony. 9.003 Furnish in tabular form information as to the direct remuneration paid by the issuer and its officer, and principal holder of securities (as defined in item 11) whose aggregate direct remuneration during such year exceeded $60,000, and the aggregate remuneration paid to all officers, directors, and principal holders of securities as a group. 10.003 State in tabular form the title and amount of securities called for by any options, warrants or rights, including the purchase price of the securities so called for and the expiration dates of such options together with the market value of the securities so called for as of the latest practicable date. Such statements should include the foregoing information for all options held by each officer or director of the issuer. Except for information required with respect to each officer or director, information with respect to option prices and expiration dates may be furnished in ranges. 11.003 A. State in tabular form the voting securities of the issuer owned of record or beneficially by each person who owns of record or is known by the applicant to own beneficially more than 10% of the outstanding securities of any class of such voting securities. Such statements should reflect the respective amounts and percentage owned either beneficially or of record by each person and such statement should also include information as to the amounts held by, and the term of, any voting trust or similar agreement with respect to more than 10% of the outstanding securities of any class of voting securities of the issuer. American LegalNet, Inc. www.FormsWorkFlow.com STATE OF CALIFORNIA DEPARTMENT OF BUSINESS OVERSIGHT FACING PAGE FOR QUALIFICATON OF NONISSUER TRANSACTION BY NOTIFICATION DBO260.131 (Rev. 10-17) Page 3 of 5 B. As to each such principal security holder and each officer or director of the issuer who effected more than five transactions in the securities of the issuer within the last twelve months, state the dates of all purchases and sales of securities of the issuer by such person, the prices received or paid and the number of securities bought or sold in each transaction. 12.003 Describe any material transactions or agreements during the 3-year period immediately preceding the filing of the application between (i) the issuer or any of its affiliated companies, and ( ii) any of their promoters, officers, directors, principal employees, principal security holders, underwriters or agents or any company directly or indirectly controlled by any such person or persons. Include a detailed statement of the number of promotional shares (as defined in Section 260.140.30 of Title 10 of the California Code of Regulations) issued, the consideration for and any restrictions on such shares. If securities were issued by the issuer during such period, briefly describe each such transaction, including any sale or distribution of h a subsidiary of the issuer. 13.003 If the issuer has outstanding securities other than common stock, outline briefly the rights, preferences, privileges and restrictions of or on such securities. If any class of outstanding common stock is nonvoting, assessable, redeemable, or subject to preemptive, rights or restrictions on transfer, outline briefly such provisions. Outline briefly the rights, term and provisions of any debt security or any other security identified in Item 6. 14.003 Exhibits. Attach and incorporate by reference the following exhibits: (NOTE: Any exhibit which is inapplicable should be listed by letter on the application followed A.003 Financial Statements: With respect to the issuer, the financial statements required by Section 260.613 of Title 10 of the California Code of Regulations. B.003 All press or publicity releases, communications to shareholders and communications to broker-dealers and investment advisors within the preceding twelve months by the issuer or its subsidiaries and relating to the business or intended business or to the assets or acquisitions of the issuer or its subsidiaries. C.003 Copy of any management contract or bonus plan, contact or arrangement with any officer or director named in item 9 above. D.003 The Consent to Service of Process if required by Section 25165 of the California Corporations Code. 15.003 The following statement should be made and completed: There has not been and there is no adverse order, judgment or decree entered in connection with the offering or trading of securities of the issuer by any State regulatory authority, any court or the Securities and Exchange Commission, except as follows: (if none, so state) American LegalNet, Inc. www.FormsWorkFlow.com STATE OF CALIFORNIA DEPARTMENT OF BUSINESS OVERSIGHT FACING PAGE FOR QUALIFICATON OF NONISSUER TRANSACTION BY NOTIFICATION DBO260.131 (Rev. 10-17) Page 4 of 5 16. The following undertaking should be made by the issuer named in Item 1 above and, if theissuer is not the applicant, executed by an authorized officer of the issuer on its behalf:The issuer, if it is the applicant, hereby undertakes to furnish the Commissioner promptlycopies of all current, quarterly, semi-annual or