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Uniform Notice Of Transaction-Accredited Investor Exemption Form. This is a New Mexico form and can be use in Blue Sky Public Regulation Commission.
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Tags: Uniform Notice Of Transaction-Accredited Investor Exemption, ACCR-INV, New Mexico Public Regulation Commission, Blue Sky
(Rev. 01/10)
UNIFORM NOTICE OF TRANSACTION
ACCREDITED INVESTOR EXEMPTION
STATE OF NEW MEXICO
NOTICE OF SALE OF SECURITIES PURSUANT TO
ACCREDITED INVESTOR EXEMPTION UNDER
RULE 12.11.12.19 NMAC
1. Issuer
Name: ___________________________________________________________________
Address: _________________________________________________________________
Phone Number: ____________________________________________________________
2. Form of Organization (Check One)
□ Corporation □ Unincorporated Association □ Limited Liability Company
□ Limited Partnership □ Other (Specify)_____________________________________
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:
__________________________________________________________________________
__________________________________________________________________________
__________________________________________________________________________
__________________________________________________________________________
__________________________________________________________________________
__________________________________________________________________________
__________________________________________________________________________
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4. This Offering.
Price per security:
Description of Security:
(check one box)
□ Debt
□ Equity (common)
□ Equity (preferred)
□ Covertible
□ Partnership Interests
□ Other (Specify)
________________
Number of securities to
be offered:
Aggregate dollar
amount:
5. Description of business:
__________________________________________________________________________
__________________________________________________________________________
__________________________________________________________________________
6. Name of Broker-Dealer who has solicited or intends to solicit purchasers in this state:
__________________________________________________________________________
__________________________________________________________________________
__________________________________________________________________________
7. 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
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under this exemption my 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)
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