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Jersey Registration Statement For Registration By Notification Form. This is a New Jersey form and can be use in Blue Sky Secretary Of State.
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Tags: Jersey Registration Statement For Registration By Notification, NJBOS-6, New Jersey Secretary Of State, Blue Sky
NEW JERSEY BUREAU OF SECURITIES
153 Halsey Street, 6th Floor
PO Box 47029
Newark, NJ 07101
(973) 504-3600
NEW JERSEY REGISTRATION STATEMENT
FOR REGISTRATION BY NOTIFICATION
All items must be answered. Attach riders where necessary.
I. DESCRIPTION OF ISSUER
A. Name: ________________________________________________________________
B. Address: ______________________________________________________________
C. Form of organization:
State: ___________________________________________________
Date organized: ___________________________________________
D. General character of business: _____________________________________________
______________________________________________________________________
E. Principal place of business: _______________________________________________
______________________________________________________________________
II. DESCRIPTION OF SUBSIDIARIES
(State the information requested in Question I for each significant subsidiary of the issuer.)
__________________________________________________________________________
__________________________________________________________________________
__________________________________________________________________________
III. DESCRIPTION OF APPLICANT
(Complete if applicant is not the issuer.)
A. Name: ________________________________________________________________
B. Address: ______________________________________________________________
C. Relationship to issuer: ___________________________________________________
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IV. INFORMATION REGARDING NONISSUER DISTRIBUTION
(Complete only if offering or any part thereof is for the benefit of selling securityholders.)
A. Name of each person on whose behalf any part of the offering is to be made: _______
_____________________________________________________________________
_____________________________________________________________________
B. Address(es): __________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
C. Amount of securities currently held by each selling securityholder: _______________
_____________________________________________________________________
_____________________________________________________________________
D. Reason (purpose) for making this offering: __________________________________
_____________________________________________________________________
_____________________________________________________________________
V. DESCRIPTION OF SECURITIES
Description
of securities
Offering price
or proposed
offering price
Total offering
# of shares
$ of shares
or units
or units
Offering in this state
# of shares
$ of shares
or units
or units
____________
___________
_________
_________
_________
_________
____________
___________
_________
_________
_________
_________
____________
___________
_________
_________
_________
_________
____________
___________
_________
_________
_________
_________
Totals
_________
_________
_________
_________
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VI. INFORMATION AND DOCUMENTS REQUIRED
A. States in which a registration statement or similar document in connection with this offering
has been or is to be filed. ___________________________________________________
________________________________________________________________________
B. State whether any withdrawal or any adverse order, judgment, or decree has been entered in
connection with this offering by the regulatory authorities in any state or by any court or by
the Securities and Exchange Commission. _____________________________________
If so, give details. _________________________________________________________
________________________________________________________________________
C. (1). Proposed offering price per unit (or the method by which it is to be computed).
____________________________________________________________________
____________________________________________________________________
(2). State whether the price will vary as to any person or class of persons other than
underwriters. _________________________________________________________
If so, give details. _____________________________________________________
____________________________________________________________________
(3). Is this offering, or any part thereof, to be made other than for cash? ______________
If so, give details. _____________________________________________________
____________________________________________________________________
D. (1). Estimated aggregate underwriting and selling discounts or commissions and finder’s fees.
Show each means of payment separately (e.g., cash, securities, contracts). _________
____________________________________________________________________
(2). If the selling discounts and commissions are variable, state the basis of determining them,
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including their maximum and minimum amount. _____________________________
____________________________________________________________________
(3). State the estimated amounts of other selling expenses, including legal, engineering and
accounting expenses. ___________________________________________________
____________________________________________________________________
E. (1). The name and address of every underwriter, agent, broker-dealer or other recipient of a
commission, discount or finder’s fee. (Submit the underwriting agreement or form of
underwriting agreement as an exhibit.) _____________________________________
____________________________________________________________________
(2). If the securities are not to be offered through an underwriter, describe the plan of distribution. ____________________________________________________________
____________________________________________________________________
(3). Identify the agent or broker-dealer registered in New Jersey who will offer the securities
or state the applicable exemption. _________________________________________
____________________________________________________________________
F. Description of any stock options outstanding or to be created in connection with this offering.
____________________________________________________________________
____________________________________________________________________
G. List dollar amounts of options held by each of the following:
Name and address
1. Each director or officer
of the issuer or person
occupying a similar status.
Dollar amount
of options held
__________________________
____________
__________________________
____________
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____________
__________________________
____________
__________________________
____________
__________________________
____________
__________________________
____________
4. If this is a nonissuer distribution, __________________________
any person on whose behalf this
offering is to be made.
__________________________
____________
5. Every underwriter or recipient of __________________________
a finder’s fee (every person listed
in paragraph E).
__________________________
____________
6. Every person who holds or will __________________________
hold 10% or more in the aggregate
of such options.
__________________________
____________
2. Any person owning of record,
or beneficially if known, at
least 10% of the outstanding
shares of any class of equity
security of the issuer.
3. Every promoter of the issuer if
the issuer was organized within
the past 3 years.
____________
____________
____________
H. EXHIBITS
Submitted herewith as part of this registration statement are the following documents. (Documents on file may be incorporated by reference.)
1. A statement of eligibility for registration by notification.
2. A copy of the underwriting or selected dealer agreement (or the proposed form).
3. A copy of any prospectus, pamphlet, circular, form letter, advertisement, or other sales
literature intended to be used in connection with this offering.
4. A consent to service of process of the issuer (with appropriate resolution).
5. The New Jersey Addendum.
6. Financial statements pursuant to N.J.S.A. 49:3-61.2(b)(6), specifically:
(a) A balance sheet of issuer as of a date within 4 months prior to the filing of this registration
statement; and
(b) A summary of earnings for each of the 2 fiscal years preceding the date of the balance
sheet, and summary of earnings for any period between the close of the last fiscal year and
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the date of the balance sheet, or for the period of the issuer’s and any predecessor’s existence if less than 2 years.
7. The registration fee of $1,000.00.
________________________________
Name of Applicant
By: _____________________________
(Name and Title)
DATE: ____________________________
STATE OF _________________________
COUNTY OF _______________________
The undersigned, ____________________________, being first duly sworn, deposes and says:
That he has executed the foregoing application for and on behalf of the applicant named therein;
that he is ______________________________ of such applicant and is fully authorized to execute and file such application; that he is familiar with such application; and that to the best of his
knowledge, information and belief the statements made in such application are true and the documents submitted therewith are true copies of the originals thereof.
__________________________________
Name
Subscribed and sworn to before me
this _____ day of ______________, 20___
___________________________________
___________________________________
NOTARY PUBLIC
In and for the County of _______________
State of ____________________________
My Commission Expires: ______________
(Notarial Seal)
Form NJBOS-6
9/2003
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