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Notice Of Claim Of Exemption Under Section 58-13B-27J NMSA 1978 Form. This is a New Mexico form and can be use in Blue Sky Public Regulation Commission.
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(Rev. 11/98)
FORM J NOTICE OF CLAIM OF EXEMPTION
UNDER SECTION 58-13B-27J, NMSA 1978
TO:
DIRECTOR, SECURITIES DIVISION
STATE OF NEW MEXICO
Notice is hereby given that the undersigned Company (corporation, limited partnership, limited liability
company or limited liability partnership), claiming the exemption afforded by Section 58-13B-27J, NMSA
1978, intends to avail itself of said exemption with respect to offers and sales of its securities as
hereinafter set forth. In support therefore, it submits the following information and exhibits:
A.
GENERAL INFORMATION
1.
2.
Type of entity (corporation, limited partnership, limited liability company, limited liability
partnership or other).
3.
Date and place of creation (incorporation, organization, filing or date of partnership
agreement).
4.
Term of entity (if applicable).
5.
Purpose or investment objective of business.
6.
Address where books and records, stock certificates or capital accounts are kept and by
whom.
7.
B.
Name and mailing address of Company.
Name, address and telephone number of person who should be contacted about this
notice.
INFORMATION ABOUT THE OFFERING
1.
Type of security, number of shares or units to be offered.
2.
Offering price per share or unit.
3.
Aggregate Offering Price.
4.
Name and address of, and compensation to be received by, each person who will be
effecting or attempting to effect sales of securities.
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5.
6.
General description of use of proceeds.
7.
General description of property, including location, in which such proceeds are to be
invested.
8.
Is the issuer, underwriter, or their affiliates subject to the disqualifications in 12 NMAC
11.4.7.2.6.3?
9.
B.
If monies from sales of securities are to be escrowed until a certain amount is raised,
attach a copy of the escrow agreement showing name and address of the escrow bank.
Attach a copy of the prospectus or offering memorandum describing the offering which
will be utilized to offer the securities and comply with the disclosure requirements set
forth in 12 NMAC 11.4.7.2.6 and attach a copy of all advertising or promotional literature.
GOVERNING INSTRUMENTS
Attach a copy of the Articles of Incorporation, Articles of Organization, Registration of Limited
Liability Partnership, Certificate of Limited Partnership or other instruments of creation of the
Company, including all amendments.
_______________
Date
______________________________________
Name of Company
______________________________________
Signature and Title of Authorized Person
ACCEPTANCE OF THIS NOTICE FOR FILING DOES NOT CONSTITUTE ANY
APPROVAL OR RECOMMENDATION WHATSOEVER BY THE DIRECTOR OF THE
NEW MEXICO SECURITIES DIVISION OF THE SECURITIES TO BE ISSUED OR SOLD.
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