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Model Accredited Investor Exemption Uniform Notice Of Transaction - Notice Of Sale Of Securities Form. This is a Michigan form and can be use in Blue Sky Secretary Of State.
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MODEL ACCREDITED INVESTOR EXEMPTION
UNIFORM NOTICE OF TRANSACTION
NOTICE OF SALE OF SECURITIES PURSUANT TO ACCREDITED INVESTOR
EXEMPTION
______________________________________________________________________________
1.
Issuer
Name:
____________________________________________________
Address:
____________________________________________________
Phone Number:
____________________________________________________
______________________________________________________________________________
2.
Form of Organization (Check One)
( ) Corporation
( ) Unincorporated Association
( ) Limited Partnership
( ) Other (Specify)
( ) Limited Liability Company
__________________________
Issuer's state of Incorporation or jurisdiction or organization _______________________
Date of Incorporation or Organization _________________________________________
______________________________________________________________________________
3.
Officers and Directors (or persons acting in a similar capacity)
Names, Addresses, and Phone Numbers:
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
______________________________________________________________________________
4. This Offering:
Description of Security
Price per security
Number of securities to
be offered
Aggregate dollar
amount
Debt
Equity (common or preferred)
Convertible Security
Partnership Interests Other
(Specify)
5.
Description of business:
_______________________________________________________________________
_______________________________________________________________________
_______________________________________________________________________
_______________________________________________________________________
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______________________________________________________________________________
6.
Name of Broker-Dealer who has solicited or intends to solicit purchasers in this state.
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
______________________________________________________________________________
Business Address
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
______________________________________________________________________________
By filing this Notice of Transaction, the issuer of these securities hereby represents that:
(1)
Sales of securities shall be made only to accredited investors as defined in 17
CFR 230.501(a).
(2)
The issuer is not an issuer in the development stage that either has no specific
business plan or purpose or has indicated that its business plan is to engage in a
merger or acquisition with an unidentified company or companies, or other entity
or person.
(3)
The issuer reasonably believes that all purchasers are purchasing for investment
and not with the view to or for sale in connection with a distribution of the
security. Any resale of a security sold in reliance on this exemption within 12
months of sale, except a resale to an accredited investor or pursuant to a
registration statement effective under applicable state securities law, shall be
presumed to be with a view to distribution and not for investment. Securities
issued under this exemption may only be resold pursuant to registration or an
exemption under applicable state securities law.
The undersigned represents that the issuer is familiar with the conditions that must be satisfied to
be entitled to the Accredited Investor Exemption of the state in which this notice is filed and
understands that the issuer claiming the availability of this exemption has the burden of
establishing that these conditions have been satisfied.
The issuer has read this notification and knows the contents to be true and has duly caused this
notice to be signed on its behalf by the undersigned duly authorized person.
Issuer (Print or Type)
Signature
Name (Print or Type)
Date
Title (Print or Type)
Note: Completion of this form does not relieve the filer of the obligation to ascertain and comply
with any additional state requirements that may apply, such as consent to service of process, payment of
requisite fees, and filing of copies of any general announcement of the proposed offering.
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