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Uniform Notice Of Transaction Accredited Investor Exemption (Notice Of Sale Of Securities) Form. This is a New Mexico form and can be use in Securities Statewide.
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Tags: Uniform Notice Of Transaction Accredited Investor Exemption (Notice Of Sale Of Securities), New Mexico Statewide, Securities
COURT
COUNTY .OF. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
......... ..
:
:
(Rev. 11/98)
Index No.
Calendar No.
:
JUDICIAL SUBPOENA
UNIFORM NOTICE OF TRANSACTION
-against:
ACCREDITED INVESTOR EXEMPTION
STATE OF NEW MEXICO
:
Plaintiff(s)
NOTICE OF SALE OF SECURITIES PURSUANT TO
:
ACCREDITED INVESTOR EXEMPTION UNDER
RULE 12 NMAC 11.4.7.2.17
Defendant(s)
:
......................................................
1. Issuer
Name: ___________________________________________________________________________
THE PEOPLE OF THE STATE OF NEW YORK
Address: _________________________________________________________________________
TO
Phone Number: ____________________________________________________________________
2. GREETINGS:
Form of Organization (Check One)
Corporation
Unincorporated Association
Limited Liability Company
WE COMMAND YOU, that all business and excuses being laid aside, you and each of you attend before
,
the Honorable Partnership
at the
Court
Limited
Other (Specify) ____________________________________
located at
County of
Issuer's state, of Incorporation or jurisdiction or organization _________________________________recessed
in room
on the
day of
, 20
, at
o'clock in the
noon, and at any
or adjourned date, to testify and give evidence as a witness in this action on the part of the
Date of Incorporation or Organization___________________________________________________
3. Officers and Directors (or persons acting in a similar capacity)
Your failure to comply with this subpoena is punishable as a contempt of court and will make you liable to
the party on whose behalfand Phone Numbers:
Names, Addresses, this subpoena was issued for a maximum penalty of $50 and all damages sustained as a
result of your failure to comply.
________________________________________________________________________________
________________________________________________________________________________
Witness, Honorable
, one of the Justices of the
________________________________________________________________________________
________________________________________________________________________________
Court in
County,
day of
, 20
________________________________________________________________________________
________________________________________________________________________________
________________________________________________________________________________
(Attorney must sign above and type name below)
4. This Offering.
Description of Security:
(check one box)
Debt
Equity (common)
Equity (preferred)
Convertible
Partnership Interests
Other (Specify)
____________________
Price per security:
Number of securities to
Attorney(s)
be offered: for
Aggregate dollar
amount:
Office and P.O. Address
Telephone No.:
Facsimile No.:
E-Mail Address:
Mobile Tel. No.:
American LegalNet, Inc.
www.USCourtForms.com
COURT
COUNTY .OF. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
......... ..
:
Index No.
:
Plaintiff(s)
5. Description of business: -against-
Calendar No.
:
JUDICIAL SUBPOENA
:
________________________________________________________________________________
:
________________________________________________________________________________
________________________________________________________________________________
:
Defendant(s)
:
6. .Name. of. Broker-Dealer .who.has .solicited . . .intends .to. solicit .purchasers in this state.
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . or . . . . . . . . . . . .
________________________________________________________________________________
________________________________________________________________________________
________________________________________________________________________________
________________________________________________________________________________
THE PEOPLE OF THE STATE OF NEW YORK
________________________________________________________________________________
TO
7. Business Address:
________________________________________________________________________________
________________________________________________________________________________
________________________________________________________________________________
GREETINGS:
________________________________________________________________________________
WE COMMAND YOU, that all business and excuses being laid aside, you and each of you attend before
,
the Honorable
at the
Court
By filing this Notice of Transaction, the Issuer of these securities hereby represents that:
located at
County of
in room Sales of securities shall be of
, on the
day made only to accredited investors as defined in 17 CFR 230.501(a). recessed
, 20
, at
o'clock in the
noon, and at any
(1)
or adjourned date, to testify and give evidence as a witness in this action on the part of the
(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.
Your failure to comply with this subpoena is punishable as a contempt of court and will make you liable to
(3) The Issuer reasonably believes that all purchasers are purchasing for investment and not with the
the party on whose behalf this subpoena was issued for a maximum penalty of $50 and all damages sustained as a
view to or to sale in
result of your failure for comply.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 bc presumed
Witness, Honorable
one of under this exemption may
to be with a view to distribution and not for investment. Securities, issued the Justices of the
Court in only be resold pursuant to registration or an exemption under applicable state securities law.
County,
day of
, 20
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(Attorney must sign above and type name below) been
establishing that these conditions have
satisfied.
The Issuer has read this notification and knows the contents to be true and has duly caused this notice to be
Attorney(s) for
signed on its behalf by the undersigned duly authorized person.
Issuer (Print or Type)
Signature
Date
Name (Print or Type)
Title (Print or Type)
Office and P.O. Address
Telephone No.:
Facsimile No.:
E-Mail Address:
Mobile Tel. No.:
American LegalNet, Inc.
www.USCourtForms.com
