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Private Placement Report Form. This is a New Jersey form and can be use in Blue Sky Secretary Of State.
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Tags: Private Placement Report Form, NJBOS-1, New Jersey Secretary Of State, Blue Sky
NEW JERSEY BUREAU OF SECURITIES
Post Office Box 47029, Newark, NJ 07101
153 Halsey Street, 6th Floor, Newark, NJ 07102
(973) 504-3600
Private Placement Report Form
N.J.S.A. 49:3-50(b)(12)
A manually signed copy of this form shall be filed with the Bureau no later than 15 days after the
first sale of securities in New Jersey. This form need not be notarized.
A manually signed Form U-2 (Uniform Consent to Service of Process) shall be filed; the Chief
of the Bureau of Securities shall be designated on Form U-2.
A copy of the Offering Statement or Prospectus shall be filed.
The fee is $250.00, payable to New Jersey Bureau of Securities. The check need not be certified.
A private placement under Section 50(b)(12) is limited to 35 investors in any 12-month period.
Accredited investors and investors residing outside New Jersey shall be excluded from the calculation of this limit. “Accredited investor” is defined in N.J.S.A. 49:3-49(p).
Supplemental reports shall be filed promptly after the initial filing with the Bureau, whenever
there are material changes to the information contained in the initial filing until the closing of the
offering. A final report shall be filed at the closing of the offering, if the information in the final
report would be materially different from the last prior filing. Additional sales to non-accredited
New Jersey investors are “material.”
The securities shall not be offered or sold by general solicitation or general advertisement.
If this offering is being sold by agents of the issuer, such agents need not be registered with the
Bureau. If this offering is being sold by agents of a broker-dealer, both the agents and the
broker-dealer shall be registered with the Bureau.
1. DESCRIPTION OF ISSUER:
a. Type of entity:
Corporation _____
LLC _____
Other (specify) ___________________________
b. Name: _______________________________________________________________
c. Address: ______________________________________________________________
d. State of formation: ______________________________________________________
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New Jersey Private Placement Report Form, Page 2
e. Officers, directors, general partners, and control persons:
Name and address
Position or
affiliation
Control persons’
form of control
___________________________
___________________
___________________
___________________________
___________________
___________________
___________________________
___________________
___________________
___________________________
___________________
___________________
___________________________
___________________
___________________
___________________________
___________________
___________________
___________________________
___________________
___________________
Note: New Jersey uses a common-law definition of “control.”
2. NEW JERSEY NON-ACCREDITED PURCHASERS:
(Attach additional sheets if necessary.)
Name and address:
No. of
units:
Total purchase
price:
_____________________________________
_______
$__________________
_____________________________________
_______
$__________________
_____________________________________
_______
$__________________
_____________________________________
_______
$__________________
_____________________________________
_______
$__________________
_____________________________________
_______
$__________________
_____________________________________
_______
$__________________
Totals
_______
$__________________
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New Jersey Private Placement Report Form, Page 3
3. DESCRIPTION OF SECURITIES:
a. Type (common stock, bonds, etc.): ____________________ Price per unit: $_______
b. SEC exemption: Section 4(2) _______
Rule 504 _______
Rule 505 _______
c. Total amt. of offering (NJ and elsewhere, accredited and otherwise): $____________
d. Total # of purchasers (NJ and elsewhere, accredited and otherwise): _____________
4. DATE OF FIRST SALE IN NEW JERSEY: __________________________________
5. BROKER-DEALER EFFECTING TRANSACTIONS:
(Omit this section if no broker-dealer is involved in offers or sales.)
a. Name of broker-dealer: __________________________________________________
b. Central Registration Depository number of broker-dealer: _______________________
c. Address of broker-dealer: ________________________________________________
d. Manner of compensation of broker-dealer: ___________________________________
e. Amount of compensation of broker-dealer: $__________________________________
f. Is broker-dealer registered in New Jersey? ____________________________________
g. Name of agent: ________________________________________________________
h. Central Registration Depository number of agent: _____________________________
i. Is agent registered in New Jersey? __________________________________________
6. CERTIFICATION: I certify that the foregoing statements are true. I am aware that if any of
the foregoing statements are willfully false, I am subject to punishment.
Name of Issuer: _____________________________
Date: ____________________
By: _______________________________________
Telephone: _______________
Title: _____________________________________
Fax: _____________________
Form NJBOS-1, 6/2003
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