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Small Issue Registration Document And Disclosure Checklist Form. This is a Georgia form and can be use in Blue Sky Secretary Of State.
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Tags: Small Issue Registration Document And Disclosure Checklist, 8-S, Georgia Secretary Of State, Blue Sky
SECURITIES AND BUSINESS REGULATION
237 Coliseum Drive
Macon, Georgia 31217‐3858
(478) 207‐2440
http://www.sos.state.ga.us/securities/
SMALL ISSUE REGISTRATION
Document and Disclosure Checklist
Georgia Securities Act of 1973, As Amended OCGA 10‐5‐5(e)
APPLICANT:
Office Use ONLY
Control #: __________
Examiner: __________
Description of Document/Disclosure
OCGA 10‐5
1. STATUTORY LIMITATION (Circle A or B)
A. Maximum aggregate offering of $1,000,000 with an unlimited
number of investors; OR
B. Maximum of 50 investors with an unlimited aggregate offering
5(e)(1)(A)
Regulation D ‐ Rule 504
2. APPLICATION FOR REGISTRATION
A. Complete all applicable parts of Form 8
B. Document and Disclosure Checklist
C. Manual signatures of officers and directors
5(e)(2)
3. CORPORATE DOCUMENTS
A. Articles of Incorporation
B. Bylaws
C. Management or other material contracts
D. Indenture or other instrument relating to the securities to be
registered
E. Consent to Service of Process
F. Corporate resolution authorizing consent
G. Date and place organized
4. DESCRIPTION OF OFFERING
A. Type of securities
B. Number offered
C. Offering price and how computed
D. Aggregate offering
E. General purpose of offering
F. Specific use of proceeds
G. Commission, discounts and expenses of offering
5. DIRECTORS, OFFICERS AND CONTROL PERSONS
A. Compensation to officers, directors and affiliates
B. Statement concerning all previous securities or proposed
transactions with issuer
C. Material interest in any material transaction within past three
years, or any proposed transaction
5(e)(2)
6. ESCROW
A. Minimum business plan
B. Agreement to escrow securities
C. Agreement in escrow proceeds
D. Petition for waiver of escrow
E. Letter from escrow agent regarding release of funds notification
5(e)(1)(B)
5(e)(3)(E)
5(e)(2)
6(c)
6(c)
5(e)(3)(A)
5(e)(3)(C)
5(e)(3)(D)
12(a)(2)
5(e)(3)(D)
5(e)(3)(D)
6(e); 590‐4‐3‐.01
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Form 8S Rev. 2/2011
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Office Use ONLY Control
#: __________
Examiner: __________
APPLICANT:
Location
Description of Document/Disclosure
OCGA 10‐5
7. FEES
A. Initial Registration: 1/20 of 1% of aggregate offering ($250 min.)
B. Renewal: $100
C. Additional assessments
D. Reports: $10
8. FINANCIAL STATEMENTS
A. 90 day unaudited balance sheet
B. Profit and loss statement
C. Projections and forecasts
6(a)
6(i)
590‐4‐3‐.08
6(j)
5(e)(3)(B)
and
5(e)(7)
9. LEGAL AND PROFESSIONAL OPINIONS AND STATEMENTS
A. Manually signed copy of opinion, certification or report identified
in prospectus
B. Written consent by anyone whose opinion or statement will be
used in connection with the offering
10. LEGENDS
A. Rescission
B. Disclaimer
C. Forecasts and projections
D. Negotiability legend
E. Restricted legend
11. LITIGATION, MATERIAL
A. Issuer
B. Officers, directors and affiliates
12. PROSPECTUS
A. Draft copy
B. Final dates copy
C. Sales literature
D. Literature for selling group
E. Rescission forms
Form 8S Rev. 9/2010
5(e)8
5(e)(3)(E)
and
12(a)(2)
5(e)(3)
13. RISK FACTORS
A. Competition
B. Litigation
C. Conflicts
D. Key officials
E. Investigative proceedings
F. Market conditions
G. Track record
H. Dilution
12(a)(2)
and
5(e)(3)(E)
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5(e)(3)(C)
6(d)
5(e)(3)(E)
19
5(e)(1)(B)
5(e)(3)(C)
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Office Use ONLY Control
#: __________
Examiner: __________
APPLICANT:
Location
5(e)(1)
15. SPECIMEN OF SECURITIES TO BE ISSUED
16. STOCK/SECURITIES OPTIONS DESCRIPTION
17. STOCK SUBSCRIPTION AGREEMENT
A. Investment intent
B. Negotiable instruments
5(e)(1)(B)
5(e)(3)(C)
5(e)(1)(B)
19
18. UNDERWRITING OR SELLING GROUP AGREEMENT
Form 8S Rev. 9/2010
OCGA 10‐5
14. SELLING SHAREHOLDERS (AFFILIATES)
A. Name and address
B. Amount of securities owned
C. Relationship to issuer
Description of Document/Disclosure
12(a)(2)
19. USE OF PROCEEDS
5(e)(3)(C)
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