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Report Of Proposed Sale Of Securities Form. This is a Ohio form and can be use in Blue Sky Secretary Of State.
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Tags: Report Of Proposed Sale Of Securities, 3-W, Ohio Secretary Of State, Blue Sky
STATE OF OHIO
Department of Commerce
Division of Securities
77 South High Street, Columbus, OH 43215-6131
Form 3-W
REPORT OF PROPOSED SALE OF SECURITIES
1707.03(W)
Telephone
(614) 644-7381
Claimant Must Not fill In.
Division Record Only
Date
Checked By
File Number
Notation
Fee ($100 Received)
Prior registrations checked
Examined as to form
Amendment requested
Record Made
Examination Requested
Exemption 3-W (Claimant Must Not Fill In.
(File)
(Date)
(Amount)
(Description)
(Price)
Instructions:
This form to be used only for any offer or sales to be made in reliance on the exemptions provided by Rule 505 of Regulation D
made pursuant to the Securities Act of 1933. This form and the one hundred dollar filing fee should be submitted to the Ohio
Division of Securities, 77 South High Street, Columbus, Ohio 43215-6131. Five days after receipt by the Division, offers may begin.
1.
Issuer's full name
Payer’s Federal Tax Identification Number
2.
Issuer's Address
(Street)
(City, State, Zip)
3.
State of incorporation/formation
4.
(Phone No.)
Type of entity
Correspondence regarding this report should be sent to:
(Corporation, Partnership, etc.)
(Name)
5.
(Street)
(Phone No.)
Securities to be offered in Ohio under Section 1707.03(W):
Type of Securities
6.
(City, State, Zip Code)
Price Per Unit
Number of Units Sold
Total Offering
Briefly describe the issuer’s business.
COM 4599 (Rev. 9/07)
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7.
List any commissions, discounts, or other remuneration paid or to be paid or given to any person, directly or indirectly, for sales in
Ohio of the securities to be offered under this exemption.
Name and address of person
receiving commissions, etc.
8.
Amount of
Commission, etc.
Percentage of
Initial Offering Price
Ohio Dealer License #
Does the issuer know or in the exercise of reasonable care could know that any of the following apply to any person
described in Rule 262(a) to (c) of Regulation A under the Securities Act of 1933:
(i) The person has filed an application for registration or qualification that is the subject of an effective order entered
against the issuer, its officers, directors, general partners, controlling persons or affiliates thereof, pursuant to the law of
any state within five years before the filing of notice required under Section 1707.03(W)(3) denying effectiveness to, or
YES
NO
suspending or revoking the effectiveness of, the registration statement.
(ii) The person has been convicted of any offense in connection with the offer, sale, or purchase of any security or
franchise, or any felony involving fraud or deceit, including but not limited to forgery, embezzlement, fraud, theft, or
conspiracy to defraud.
YES
NO
(iii) The person is subject to an effective administrative order or judgment entered by a state securities administrator
within five years before the filing of a notice required under Section 1707.03(W)(3), that prohibits, denies, or revokes the
use of any exemption from securities registration, that prohibits the transaction of business by the person as a broker or
dealer, or that is based on fraud, deceit, an untrue statement of a material fact or an omission to state a material fact.
YES
NO
(iv) The person is subject to any order, judgment or decree of any court entered within five years before the filing of a
notice required under Section 1707.03(W)(3), temporarily, preliminarily, or permanently restraining or enjoining the
person from engaging in or continuing any conduct or practice in connection with the offer, sale, or purchase of any
security, or making of any false filing with any state.
YES
NO
If any of the above questions were answered yes, explain:
9.
Incorporated issuers not domiciled in this state or unincorporated issuers having a situs of its principal place of business
outside this state must file a Form 11 or Form U-2. (See section 1707.11, R.C.)
10.
Will an offering circular be used in connection with this offering?
If yes, attach a copy.
YES
NO
SIGNATURE
The issuer represents that the foregoing information is true as of the date hereof and agrees that this report shall be considered a
written statement used for the purpose of selling securities in Ohio within the meaning of Section 1707.44(B) of the Ohio
Revised Code. The individual signing this report on behalf of the issuer further represents that he/she is duly authorized by the
issuer to execute and file this report.
Issuer
(Full Name)
By
(Signature)
(Please Print or type Name)
(Date)
(Official Capacity)
The Division suggests Form 3-W be sent certified mail for verification of receipt, or send a copy of this form together with a
self-addressed, stamped envelope.
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