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Notice Of Limited Offering Of Securities Under Maryland Securities Act Form. This is a Maryland form and can be use in Securities Secretary Of State.
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Tags: Notice Of Limited Offering Of Securities Under Maryland Securities Act, MLOE-1, Maryland Secretary Of State, Securities
COURT
COUNTY .OF. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
......... ..
:
Index No.
:
:
Plaintiff(s)
-against-
Calendar No.
MLOE-1/Page 1
JUDICIAL SUBPOENA
:
:
:
Defendant(s)
:
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FORM MLOE-1
THE PEOPLE OF THE STATE OF NEW YORK
NOTICE OF
LIMITED OFFERING OF SECURITIES
UNDER THE MARYLAND SECURITIES ACT
Pursuant to Regulations 02.02.04.09 --.13
TO
If
aggregate offering price of any offering
GREETINGS:the of proceeds received) exceeds $150,000 (regardless of
the amount
in connection
with any transaction pursuant to the Maryland Limited Offering
WE COMMAND YOU, that all business and the Maryland Securities
attend
Exemption (MLOE) contained in excuses being laid aside, you and each of youAct, before
Corporations and Associations the
§11-602(9) and COMAR
,
the Honorable
at Article Court
Regulations .02.02.04.09 --.13, the
located
County of to the Securities atCommissioner issuer shall deliver this
Notice
not later than the end of
inbusiness on, on the fifteenth day after the first sale the securitiesany recessed
room
day of
, 20
, at
o'clock in of
noon, and at in
the
orMaryland. to testify and give evidence as a witness in this action on the with the
adjourned date, This Notice shall be considered filed part of the Division
for purposes of MLOE as of the date the Division receives the
Notice. This Notice shall be accompanied by a filing fee of $100
paid by check made payable to "Office of the Attorney General".
Filings should be sent to “Maryland Division of Securities, 200 St.
Paul Your failureBaltimore, this subpoena is21202-2020”.
Place, to comply with Maryland punishable as a contempt of court and will make you liable to
the party on whose behalf this subpoena was issued for a maximum penalty of $50 and all damages sustained as a
IF ADDITIONAL
result of your failure to comply. SPACE IS REQUIRED TO RESPOND COMPLETELY TO ANY
ITEM, PLEASE ATTACH ADDITIONAL SHEETS.
1.
Witness, Honorable
Name of County,
Issuer
Court in
, one of the Justices of the
day of
, 20
Address of Issuer
(Attorney must sign above and type name below)
(
)
City, State, Zip Code
2.
Telephone Number
Correspondent to whom communications regarding this Notice
should be directed:
Attorney(s) for
Name
Address
3.
Office and P.O. Address
(
)
City, State, Zip Code
Telephone Number
Please describe, in summary form, Telephone No.:
the issuer's business:
Facsimile No.:
E-Mail Address:
Mobile Tel. No.:
American LegalNet, Inc.
www.USCourtForms.com
COURT
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:
Index No.
MLOE-1/Page 2
:
Plaintiff(s)
-against-
Calendar No.
:
JUDICIAL SUBPOENA
:
:
4.
Issuer's type of business organization:
(a)
:
Corporation
Defendant(s)
:
. . . . . . . . (b) . . .Partnership . . . . . . . . . . . . . . . . . . . . . . . . .
....
..............
(c)
Limited liability company
(d)
Real estate investment company
THE PEOPLE OF THE STATE OF NEW YORK
(e)
TO
Joint venture
(f)
Other* (specify)
*If "Other," please attach a copy of the Securities
Commissioner's order extending the availability of MLOE to the
issuer.
GREETINGS:
5.
Year in which the issuer was incorporated or organized:
WE COMMAND YOU, that all business and excuses being laid aside, you and each of you attend before
,
the Honorable
at the
Court
County ofState in which located at
6.
the issuer was incorporated or organized:
in room
, on the
day of
, 20
, at
o'clock in the
noon, and at any recessed
or adjourned date, to testify and give evidence as a witness in this action on the part of the
7.
Please identify the exemption from federal registration on
which the issuer is relying in connection with this offering:
(a) Section 4(2)
Your failure to comply with this subpoena is punishable as a contempt of court and will make you liable to
the party on whose behalf this subpoena was issued for a maximum penalty of $50 and all damages sustained as a
(b) Rule 504
result of your failure to comply.
(c)
Rule 147
Witness, Honorable
(d) Other* (specify)
Court in
County,
day of
, one of the Justices of the
, 20
*If “Other”, please attach a copy of the Securities
Commissioner's order extending the (Attorney must sign above of type name below)
availability and MLOE to the
issuer.
8.
Please list the other states in which the issuer proposes to
offer or sell securities in connection with this offering:
Attorney(s) for
9.
Please indicate the nature of the issuer's securities that are
the subject of this offering:
(a)_____Stocks
Office and P.O. Address
(b)_____Notes
(c)_____Bonds
(d)_____Debentures
(e)_____Evidence of indebtedness Telephone No.:
(f)_____Voting trust certificates
Facsimile No.:
(g)_____Partnership interests
E-Mail Address:
Mobile Tel. No.:
American LegalNet, Inc.
www.USCourtForms.com
COURT
COUNTY .OF. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
......... ..
:
Index No.
MLOE-1/Page 3
:
Calendar No.
:
(h)_____Limited liability company membership interests
JUDICIAL SUBPOENA
Plaintiff(s)
(i)_____Shares of beneficial interest
(j)_____Warrants or rights to purchase or subscribe for any of
-against:
the above
(k)_____Other securities convertible into any of the above
:
(l)_____Other* (specify)
*If "Other," please attach a copy of the Securities
:
Commissioner's order extending the availability of MLOE to the
issuer.
Defendant(s)
:
......................................................
10.
Have any securities of the same or similar class as those that
are the subject of this offering been offered or sold within
the six months preceding the commencement of this offering?
THE PEOPLE OF THE STATE OF NEW YORK
No
Yes
TO
If "Yes," please explain briefly:
GREETINGS:
11.
(a) Date of commencement of this offering:
WE COMMAND YOU, that all business and excuses being laid aside, you and each of you attend before
,
the Honorable
the
Court
(b) Date of the first atsale in Maryland (See Maryland
located at Corporations and Associations Article,
County of
Securities Act,
§11-801, Annotated Code of at
in room
, on the
day of
, 20
, Maryland): in the
o'clock
noon, and at any recessed
or adjourned date, to testify and give evidence as a witness in this action on the part of the
12.
(a)
Aggregate offering price of the securities intended to be
sold in this offering: $
(b) Number of units offered:
Your failure to comply with this subpoena is punishable as a contempt of court and will make you liable to
the party on whose behalf this subpoena was issued for a maximum penalty of $50 and all damages sustained as a
(c) Price per
result of your failure to comply. unit offered: $
13.
PleaseHonorable the aggregate offering price one the securities
Witness, state
, of
intended to be sold in Maryland, if different of the Justices of the
from the answer
Court in to Item County, above: $
day of
, 20
12(a)
14.
On separate sheets, please state the name, home address and
position of each officer, director, must sign above and type name below) or
(Attorney general partner*,
trustee* of the issuer, in the following format:
Name
Position
Attorney(s) for
Home Address
City, State, Zip Code
Office and P.O. Address
*If the general partner or trustee is a corporation or other
entity, provide the requested information as to each officer,
director, or general partner of that entity.
Telephone No.:
15.
Facsimile No.:
Using a separate sheet if necessary, please state the name and
E-Mail Address:
Mobile Tel. No.:
American LegalNet, Inc.
www.USCourtForms.com
COURT
COUNTY .OF. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
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:
Index No.
MLOE-1/Page 4
:
Calendar No.
:
home address of each beneficial owner of JUDICIAL SUBPOENAof
10 percent or more
Plaintiff(s)
the outstanding shares of any class of equity security of the
issuer, in -againstthe following format:
:
Name
Home Address
:
:
Defendant(s)
:
......................................................
City, State, Zip Code
16.
Using a separate sheet if necessary, please identify each
individual person or broker/dealer authorized by the issuer to
sell THE STATE OF of YORK
THE PEOPLE OFsecurities NEWthe issuer under this offering, in the
following format:
TO
Name
Address
GREETINGS:
(
)
City, State, Zip Code
Telephone and each
WE COMMAND YOU, that all business and excuses being laid aside, youNumber of you attend before
,
the Honorable
Court
Is this person affiliated at the the issuer? Yes
with
No
located at
County of
in room If "yes", in whatofcapacity:
, on the
day
, 20
, at
o'clock in the
noon, and at any recessed
or adjourned date, to testify and give evidence as a witness in this action on the part of the
Type and value of any remuneration to this person for sale of
securities (if "none", please so state):
Your failure to comply with this subpoena is punishable as a contempt of court and will make you liable to
Is this person a broker-dealer?
Yes
No
the party on whose behalf this subpoena was issued for a maximum penalty of $50 and all damages sustained as a
result of your failure to comply.
17. Please indicate whether (a) the issuer, (b) any of its
directors, officers, general partners, trustees, or any other
personHonorable
Witness, performing similar functions, (c) beneficial owners of
, one
ten percent or more of any class of its equityof the Justices of the(d)
securities,
Court in any of the issuer's of
County,
day promoters 20
, currently connected with it in
any capacity, or (e) any person (other than a broker-dealer
currently registered under the Maryland Securities Act, §11405, Annotated Code of Maryland) that has been or will be paid
or given, directly or indirectly, a commission type name below)
(Attorney must sign above and or similar
remuneration for the solicitation of a prospective purchaser
or in connection with sales of securities under MLOE:
(i) Within five years before the first sale of securities in
Attorney(s) for
this offering, has filed a registration statement or an
application for exemption from registration that is currently
subject to a stop order under a state's securities laws.
Yes
No
If "Yes", please provide
complete details using additional Office and P.O. Address
sheets.
(ii) Within five years before the first sale of securities in
this offering, has been convicted of or has pleaded nolo
contendere to a felony or misdemeanor in No.:
Telephone connection with the
offer, purchase, or sale of a security or in connection with
Facsimile No.:
the making of a false filing with the Securities and Exchange
E-Mail Address:
Mobile Tel. No.:
American LegalNet, Inc.
www.USCourtForms.com
COURT
COUNTY .OF. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
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:
Index No.
MLOE-1/Page 5
:
Calendar No.
:
Commission or with a Plaintiff(s) securitiesJUDICIAL SUBPOENA a
state
administrator, or
felony involving fraud or deceit, including, but not limited
to, forgery, embezzlement, obtaining money under false
-against:
pretenses, larceny, conspiracy to defraud, or theft.
: If "Yes", please provide
No
Yes
complete details using additional sheets.
:
(iii) Is subject to an order, judgment, or decree of a court
of competent jurisdiction temporarily or preliminarily
Defendant(s)
:
. . . . . . . . restraining . or . enjoining,. . or. .is . .subject to an order, judgment,
.............. ... ............ .. .. .....
or decree of a court of competent jurisdiction entered within
five years before the first sale of securities in this
offering and permanently restraining or enjoining, that person
from engaging in or continuing any conduct or practice in
connection with the offer,
THE PEOPLE OF THE STATE OF NEW YORK purchase, or sale of a security or
in connection with the making of a false filing with the SEC
or a state securities administrator.
TO
No
If "Yes", please provide
Yes
complete details using additional sheets.
(iv)
Is subject to a United States Postal Service false
GREETINGS:
representation or cease and desist order entered under 39
U.S.C. §3005 within five years before the first sale of
securities in that all offering or being laid aside, to each of you attend
WE COMMAND YOU,this business and excuses is subjectyou anda temporary before
restraining order or preliminary injunction entered under 39
,
the Honorable
at
Court
U.S.C. §3007 or 18 U.S.C.the§1345 with respect to conduct
County ofalleged to havelocated at
violated 39 U.S.C. §3005.
in room
, on the
day of
, 20
, at
o'clock in the
noon, and at any recessed
No
If on the part please provide
or adjourned date,Yes
to testify and give evidence as a witness in this action "Yes", of the
complete details using additional sheets.
(v) Is subject to a state administrative order entered by a
state securities administrator in which fraud or deceit was
found, if the final subpoena is punishable as contempt of court and will before
Your failure to comply with thisorder was entered awithin five years make you liable to
the first this subpoena was issued for a maximum offering.
the party on whose behalfsale of securities in this penalty of $50 and all damages sustained as a
result of your failure to comply.
Yes
No
If "Yes", please provide
complete details using additional sheets.
Witness, Honorable
, one
Is the issuer, any of its predecessors, of the Justicesoftheits
or any of
Court in affiliates subject ofto an order issued by the Securities
County,
day
, 20
Commissioner or subject to an order, judgment, or decree of a
court of competent jurisdiction temporarily, preliminarily, or
permanently restraining or enjoining the person for failure to
file a Form MD-1 or Form MLOE-1. (Attorney must sign above and type name below)
18.
Yes
No
If "Yes", please provide
complete details using additional sheets.
19.
Attorney(s) or
If any of the questions in paragraphs 17 for 18 were answered
"Yes", please provide a copy of the order, judgment, decree,
injunction or other action.
Office and P.O. Address
I do solemnly declare and affirm under penalties of perjury
that to the best of my knowledge, information and belief, the
contents of the foregoing document are Telephone No.: correct.
true and
Signed:
Facsimile No.:
E-Mail Address:
Mobile Tel. No.:
American LegalNet, Inc.
www.USCourtForms.com
COURT
COUNTY .OF. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
......... ..
:
Index No.
MLOE-1/Page 6
:
Name (please print):
Title:
Plaintiff(s)
-against-
Calendar No.
:
JUDICIAL SUBPOENA
:
:
Date of Notice:
:
Defendant(s)
:
......................................................
"It is unlawful for any person to make ... in any document
filed with the Commissioner ... any statement which is, at
the time and in the light of the circumstances under which it
is made, THE STATE OF NEW YORK
THE PEOPLE OFfalse or misleading in any material respect."
Section 11-303, Corporations & Associations Article, Annotated
TO Code of Maryland
January 1, 1996
g:\users\forms\mloe-1
GREETINGS:
WE COMMAND YOU, that all business and excuses being laid aside, you and each of you attend before
,
the Honorable
at the
Court
located at
County of
in room
, on the
day of
, 20
, at
o'clock in the
noon, and at any recessed
or adjourned date, to testify and give evidence as a witness in this action on the part of the
Your failure to comply with this subpoena is punishable as a contempt of court and will make you liable to
the party on whose behalf this subpoena was issued for a maximum penalty of $50 and all damages sustained as a
result of your failure to comply.
Witness, Honorable
Court in
County,
, one of the Justices of the
day of
, 20
(Attorney must sign above and type name below)
Attorney(s) for
Office and P.O. Address
Telephone No.:
Facsimile No.:
E-Mail Address:
Mobile Tel. No.:
American LegalNet, Inc.
www.USCourtForms.com
