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Prospectus Instructions Form. This is a Michigan form and can be use in Blue Sky Secretary Of State.
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Tags: Prospectus Instructions, FIS-0531, Michigan Secretary Of State, Blue Sky
COURT
COUNTY .OF. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
......... ..
:
FIS 0531 (6/01)
Office of Financial & Insurance Services
:
Calendar No.
:
Division of Securities
JUDICIAL SUBPOENA
Prospectus Instructions
Plaintiff(s)
-against-
Index No.
:
The following outline indicates, in general, the subjects and extent to which they should be covered in the
:
average prospectus. It must not, however, be constructed as a complete outline for any individual
prospectus.
:
The prospectus is for the purpose of informing prospective purchasers fully of all material facts
Defendant(s)
:
concerning . . . . . . . . . . and .the .issuer. and .for. retention .by. the. purchaser and should be written in story
. . . . . . . . . the security . . . . . . . . . . . . . . . . . . . . . . . . . . .
form.
The prospectus is to be used as required by Order of the Office of Financial and Insurance Services (OFIS).
No prospectus shallTHE STATE OF NEW YORK
THE PEOPLE OF be used unless it has been submitted to OFIS and no prospectus shall be used if OFIS
has objected thereto.
TO
IT IS TO BE NOTED THAT THE USE OF THE NAME OF THE OFFICE OF FINANCIAL AND INSURANCE
SERVICES, EXCEPT IN THE CONTEXT IN THE DISCLAIMERS NOTED BELOW, MAY BE MADE ONLY
UPON WRITTEN APPROVAL BY OFIS.
GREETINGS:
The FIRST or COVER PAGE should contain only the following (unless OFIS requires otherwise):
WE COMMAND
Name of Issuer YOU, that all business and excuses being laid aside, you and each of you attend before
,
the Honorable
at the
Court
Principal Business Address
located at
County of
in room Name of Security
, on the
day of
, 20
, at
o'clock in the
noon, and at any recessed
Face or Par Value Per Unit and Other a witness in
or adjourned date, to testify and give evidence asDescription this action on the part of the
Offering Table - (containing at least the following information and footnotes)
Underwriting
Aggregate
Aggregate
Price Per
Number of
Aggregate Gross
Your failure to comply with this subpoena is punishable as a contempt&of court and will make you liable to
Discounts &
Proceeds to
Discounts
Unit
Units
Proceeds
Commissions issued for a maximum penalty of $50 and all damages sustained as a
the party on whose behalf this subpoena wasPer
Issuer ( )
Commissions ( )
Unit
result of your failure to comply.
Witness, ( ) should
, one of footnote to indicate
FootnotesHonorable be added as appropriate. There should be at least onethe Justices of the
Court in the amount of County, expenses of the offering,other than underwriting discounts and
day of
20
estimated
commissions and that the Aggregate Discounts and Commissions and Aggregate Proceeds to
Issuer columns are before any deduction for such expenses of offering other than underwriting
discounts and commissions.
(Attorney must sign above and type name below)
Impoundment of Proceeds (A summary paragraph should follow the above table and set out
any provisions with respect to impoundment of proceeds)
Attorney(s) for
Disclaimers (The applicable of the following disclaimers should appear)
A REGISTRATION STATEMENT RELATING TO THESE SECURITIES HAS BEEN
FILED WITH THE DEPARTMENT OF CONSUMER & INDUSTRY SERVICES, MICHIGAN
Office THE DEPARTMENT HAS NOT
OFFICE OF FINANCIAL AND INSURANCE SERVICES. and P.O. Address
This form is issued under Act 265, PA 1964, as amended. The form
Telephone No.:
should be used as a guide to compliance under Section 304 of the
Facsimile No.:
Act.
Our Web address is http://cis.state.mi.us/ofis
Our toll free number is 1-877-999-6442
Page 1
E-Mail Address:
Mobile Tel. No.:
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COURT
COUNTY .OF. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
......... ..
:
:
Index No.
Calendar No.
UNDERTAKEN TO PASS UPON THE VALUE OF :
THESE SECURITIES NOR TO MAKE
ANY RECOMMENDATIONSPlaintiff(s)
AS TO THEIR PURCHASE.JUDICIAL SUBPOENA
-against-
:
THE USE OF THE PROSPECTUS IS CONDITIONED UPON ITS CONTAINING ALL
MATERIAL FACTS AND THAT ALL STATEMENTS CONTAINED THEREIN ARE TRUE
:
AND CAN BE SUBSTANTIATED. THE DEPARTMENT HAS NOT PASSED UPON THE
ACCURACY OR ADEQUACY OF THIS PROSPECTUS.
:
NO BROKER-DEALER, SALESMAN, AGENT OR ANY OTHER PERSON HAS BEEN
Defendant(s)
:
. . . . . . . . . . . . . . .AUTHORIZED .TO.GIVE .ANY. INFORMATION. OR TO MAKE ANY
........... .. .... ... ............ ..
REPRESENTATIONS, IN CONNECTION WITH THE OFFERING HEREBY MADE,
OTHER THAN THOSE CONTAINED IN THIS PROSPECTUS OR EFFECTIVE
LITERATURE.
THE PEOPLE OF THE STATE OF NEW YORK
TO
*THESE SECURITIES ARE OFFERED FOR SALE ONLY IN THE STATE OF
MICHIGAN TO BONA FIDE RESIDENTS OF MICHIGAN AND NOT FOR RESALE TO
NONRESIDENTS OF MICHIGAN.
*This paragraph is not required where there is a full registration under the
Securities Act of 1933 or if there is a filing under exemption under
GREETINGS:
Regulation A of that Act. It is required where the offering is to be
INTRASTATE with no filing under the above Act and in addition such
WE COMMAND YOU, that steps as may be excuses being laid the offeringandintrastateyou attend before
other proper all business and required to insure aside, you is each of
,
the Honorable
at the
Court
should be taken.
located at
County of
THIS the A BEST EFFORTS OFFERING, AND THE ISSUERin the
in room
, on IS
day of
, 20
, at
o'clock RESERVES THE RIGHT recessed
noon, and at any
or adjourned date,TO testify andOR REJECT ANYaSUBSCRIPTION AND on the PROMPTLY NOTIFY THE
to ACCEPT give evidence as witness in this action WILL part of the
SUBSCRIBER OF ACCEPTANCE OR REJECTION. THERE IS NO ASSURANCE
THAT THIS OFFERING WILL ALL BE SOLD. THERE ARE NO ASSURANCES AS TO
WHAT SIZE THE ISSUER MAY REACH.
Your failure to comply with this subpoena is punishable as a contempt of court and will make you liable to
THE ISSUER HAS NOT YET ENGAGED IN BUSINESS. THE SECURITIES OFFERED
the party on whose behalf this subpoena was issued for a maximum penalty of $50 and all damages sustained as a
HEREBY INVOLVE A HIGH DEGREE OF RISK. THE OFFERING PRICE HAS BEEN
result of your failure to comply.
ARBITRARILY SELECTED BY THIS ISSUER. NO MARKET EXISTS FOR THESE
SECURITIES, AND UNLESS A MARKET IS ESTABLISHED, PURCHASERS MIGHT
Witness, Honorable TO SELL THEM.
, one of the Justices of the
NOT BE ABLE
Court in
County,
day of
, 20
THERE IS NO ASSURANCE THAT OUR OPERATIONS WILL BE PROFITABLE OR
THAT LOSSES WILL NOT OCCUR.
(Attorney must sign above and type name below)
IT IS NOT THE POLICY OF THE ISSUER TO REDEEM THESE SECURITIES.
ANY REPRESENTATIONS CONTRARY TO ANY OF THE FOREGOING SHOULD BE
REPORTED FORTHWITH TO THE OFFICE OFAttorney(s) for INSURANCE SERVICES
FINANCIAL AND
AT 611 West Ottawa Street, 2nd Floor-Ottawa Building, P.O. Box 30701, Lansing, MI
48909-8201, or Telephone (877) 999-6442.
Name(s) of Broker-Dealer(s) - (These should appear just above the Date of the Prospectus)
Office and P.O. Address
Date of Prospectus - (This should appear at the bottom of the First Page)
Page 2
Telephone No.:
Facsimile No.:
E-Mail Address:
Mobile Tel. No.:
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COURT
COUNTY .OF. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
......... ..
:
:
Index No.
Calendar No.
In the REMAINING PAGES of the prospectus, using the following capitalized headings, there
:
Plaintiff(s)
should be set out under each heading, in narrative or story form, JUDICIAL SUBPOENA
all pertinent information pertaining
to the issuer under that heading, adding any information not requested here in these instructions
-against:
and omitting any items called for under the heading in the instructions if that item does not apply.
:
NOTE: Use of the name of the Office of Financial and Insurance Services of the Michigan
Department of Consumer and Industry Services, except in the context in the above
:
disclaimers, may be made only upon written approval.
Defendant(s)
:
......................................................
HISTORY AND BUSINESS
State and date of incorporation, if the issuer is a corporation. If issuer is not a corporation, describe the
form of organization in detail.
THE PEOPLE OF THE STATE OF NEW YORK
Location of the issuer's principal business office.
TO
Name(s) of the issuer's parent(s), if any, together with the medium(s) through which control is available in
each case.
GREETINGS:
Name(s) of the issuer's subsidiaries, if any, together with the medium(s) through which control is
available in each case and the location of the principal plants of such subsidiaries.
WE COMMAND YOU, that all business and excuses being laid aside, you and each of you attend before
,
the Honorable
at the
Court
General development of the issuer's business over the past five years.
located at
County of
inDetailed characteron the business engaged in and 20 be engaged in by issuer and each noon, and at any recessed
room
, of
day of
, to
, at
o'clock in the
of its
orsubsidiaries.
adjourned date, to testify and give evidence as a witness in this action on the part of the
Period of time during which the present type of business has been conducted.
Industries to whom ato comply withof thesubpoenasales are made and the percentcourt and will taken by liable to
Your failure major portion this issuer's is punishable as a contempt of of total sales make you
each.
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.
Individual persons or companies taking more than 20% of the issuer's total sales.
Witness, Honorable
Court in
County,
Seasonal and cyclical characteristics of the business.
day of
, one of the Justices of the
, 20
Nature of each intangible asset, process, patent, formula, copyright, trademark, etc., owned or leased by
the issuer and material to the conduct of its business, regardless of whether or not such assets are set
forth on the balance sheet of the issuer. If a value is placed on said asset in the balance sheet state the
(Attorney must sign above and type name below)
method of computing same.
Product.
Attorney(s) for
Extent of market.
Office and P.O. Address
Page 3
Telephone No.:
Facsimile No.:
E-Mail Address:
Mobile Tel. No.:
American LegalNet, Inc.
www.USCourtForms.com
COURT
COUNTY .OF. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
......... ..
:
Index No.
:
Calendar No.
TABLE - (Table should be captioned "CAPITALIZATION" and contain at least the following
information)
:
Plaintiff(s)
Amount Authorized by
Names of
Charter, Declaration of
Securities -againstPartnership Agreement or
Appropriate Action of Proper
Officials of Issuer
JUDICIALUnits & Dollar
SUBPOENA
Units and Dollar Amount
Outstanding as of
:
_______________, _____
Amount to be
Outstanding
(After Offering)
:
:
The above table should contain the foregoing information as to each of the securities of the
Defendant(s)
issuer.
:
......................................................
Footnotes should be used to set out, if any, the number of shares or dollar amount of securities
which the issuer is now or may be in the future committed or required to issue by reason of
options, subscriptions, warrants, rights, or conversion privileges, or which the issuer has
THE PEOPLE OF THE STATE OF NEW YORKdetails fully, giving prices, consideration to be paid, the
earmarked for specific use(s). Explain
amounts paid to date, length of options, or rights named above, and reason for granting same
TO
and to whom granted, etc.
The table and footnotes should then be followed by a description of the various securities of the
issuer under captions giving the name of the security and such description should cover the
following:
GREETINGS:
Voting rights.
Pre-emptive rights.
WE COMMAND YOU, that all business and excuses being laid aside, you and each of you attend before
Preferences as to assets.
,
the Honorable
at the Security. Court
Preferences as to dividends.
Sinking fund provisions.
located at
County of
Rights to accumulated dividends.
Conversion or exchange rights.
in room
, on the
day of
, 20
, at
o'clock in the
noon, and at any recessed
Maturity dates.
Redemption, retirement, or liquidation provision.
or adjourned date, to testify and give evidence as a witness in this action on the part of the
Interest rates.
Dividend rates.
Any other provisions of a material nature.
Any future changes.
Where issuer has been incorporated within the last 2 years set out the consideration received
Your failure to comply with this subpoena is punishable as a contempt of court and will make you liable to
for all outstanding common stock, in accordance with the following form:
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.
Number of Shares
Actual Value
Remarks
Actual Cash
Witness, Honorable
Notes
Court in Real Estate County,
, one of the Justices of the
day of
, 20
Plant
Equipment
(Attorney must sign above and type name below)
Patents
Promotion
Other Intangible Assets
Commissions
Attorney(s) for
Salaries
Dividends
Stock Subscriptions (unpaid)
Totals
Office and P.O. Address
NOTE: Prepare a similar schedule of the consideration received for any preferred or other class
of outstanding capital stock or any other type of equity security.
Page 4
Telephone No.:
Facsimile No.:
E-Mail Address:
Mobile Tel. No.:
American LegalNet, Inc.
www.USCourtForms.com
COURT
COUNTY .OF. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
......... ..
:
Index No.
:
UNDERWRITING
:
Plaintiff(s)
Calendar No.
JUDICIAL SUBPOENA
State whether the securities are to be sold by the president, vice president, secretary or
-against:
treasurer, or by other individuals, or by dealers.
:
State whether or not any commission or other remuneration is to be paid.
Where the securities are to be sold by dealers, set out:
:
Defendant(s)
:
. . . . . . . . . . . . . . .Names. of. all . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
. . . . . . . . the dealers.
Whether or not the offering is based on a firm commitment as principals or is on an
agency basis.
Material provisions of all underwriting or related agreements.
Financial or other interests, if any,
THE PEOPLE OF THE STATE OF NEW YORK that underwriters, dealers, or the issuer have in one
another.
TO
TABLE USE OF PROCEEDS - (this table should contain the following information)
GREETINGS:
ITEM
DOLLAR AMOUNT
Commissions
WEOffering Expenses
COMMAND YOU, that all business and excuses being laid aside, you and each of you attend before
,
the Honorable
at the
Court
Other Uses
located at
County of
in room If the proceeds are to be supplemented by20
, on the
day of
, borrowing, the amount ofin the
, at
o'clock the borrowings and the any recessed
noon, and at
various to testify dollar amounts they will finance this action on the part of the
or adjourned date, items andand give evidence as a witness inshould follow the above table. All of the
information as to source of borrowings and commitments and nature thereof and the terms of
the borrowings should also be disclosed and explained.
Your failure to comply with this subpoena is punishable as a contempt of court and will make you liable to
MANAGEMENT
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.
Names, age, official positions, and residence addresses of all officers, directors, managing
members, trustees, executive manager, officials and other executives.
Witness, Honorable
, one of the Justices of the
Court in Remuneration including salaries and bonuses paid to the above and any change to be made in
County,
day of
, 20
such remuneration over the ensuing year.
History of the business experience of the principal officers and other executives.
(Attorney must sign above and type name below)
Describe any outside affiliation of the above, which is or may become a material advantage or
detriment to the issuer. Designate which of the above will devote part time and how much time
to the company's affairs.
Attorney(s) for
Describe any outside affiliations of the above, which is or may become a material advantage or
detriment to the issuer.
Names of all persons owning of record or beneficiallyOfficeor more ofAddress
10% and P.O. the outstanding stock of
any class, or 10% or more of the outstanding stock of all classes together with the number of
shares of each class held by each such person.
Telephone No.:
Facts as to any agreement or proposed agreement or plan of compensation, profit sharing
Facsimile No.:
device, bonus, commission, or salary agreement not set forth above.
Page 5
E-Mail Address:
Mobile Tel. No.:
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COURT
COUNTY .OF. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
......... ..
:
Index No.
:
Plaintiff(s)
FINANCIAL DATA
-against-
Calendar No.
:
JUDICIAL SUBPOENA
:
Financial statements complying with the requirements set forth below must be included in the
prospectus. Where practicable, the financial statements should be shown in comparative form.
:
The accountant's certificate and all notation necessary to make the financial statements clear,
complete and accurate must be included.
:
Balance Sheet, Profit and Loss Statement, and Analysis of Surplus, as of the close of
Defendant(s)
:
. . . . . . . . . . . . . . .the .last. fiscal .year.or. for .the .last. fiscal .year,. certified by an independent public
.. .. .... ... . .. .. .. .... ... ....
accountant.
Interim Balance Sheet as of a date within 90 days of submittal of application and Profit
and Loss Statement and Analysis
THE PEOPLE OF THE STATE OF NEW YORK of Surplus for the interim period between the close of
the last fiscal year and the date of the Balance Sheet.
TO
Profit and Loss Statements and Analysis of Surplus for 2 years prior to the last fiscal
year (or for such part thereof during which the company operated).
GREETINGS:
Statement as to any material changes in the financial condition of the issuer occurring
since the date of the latest balance sheet.
WE COMMAND YOU, that all business and excuses being laid aside, you and each of you attend before
,
the Honorable
at the
Court
MISCELLANEOUS
located at
County of
in room The following information should also be ,presented in a suitable manner:
, 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
Names and addresses of counsel who have passed on the legality of the issue.
A statement as to any legal actions which to the knowledge of the issuer are being
brought or are with brought against it, and a brief a contempt of court and will make
Your failure to comply to be this subpoena is punishable as summary with respect thereto; also you liable to
statement as to any judgments not for a maximum penalty of
the party on whose behalf this subpoena was issued existing against the issuer. $50 and all damages sustained as a
result of your failure to comply.
Indicate the policy of the issuer with respect to frequency and scope of reports and
certified statements to be given stockholders, together with date of issuer's fiscal year
Witness, Honorable
, one of the Justices of the
end.
Court in
County,
day of
, 20
Any additional information that is pertinent.
(Attorney must sign above and type name below)
Attorney(s) for
Office and P.O. Address
Page 6
Telephone No.:
Facsimile No.:
E-Mail Address:
Mobile Tel. No.:
American LegalNet, Inc.
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