Registration For Resale Or Dealing And Trading Form. This is a Oregon form and can be use in Blue Sky Secretary Of State.
Tags: Registration For Resale Or Dealing And Trading, 440-2203, Oregon Secretary Of State, Blue Sky
Oregon Department of Consumer and Business Services Division of Finance and Corporate Securities 350 Winter St. NE, Rm. 410, Salem, Oregon 97301-3881 Mailing address: P.O. Box 14480, Salem, OR 97309-0405 503-378-4140 Fax: 503-947-7862 http://dfcs.oregon.gov REGISTRATION FOR RESALE, OR DEALING AND TRADING ORS 59.035(9), OAR 441-065-0040 I. Identity of the broker/dealer applicant: 1. Name of applicant: CRD number: 2. Street address of principal executive office of the applicant: City: State: ZIP: 3. Applicant’s phone number: 4. Chief executive officer of the applicant: 5. Title and class of security to be registered: : 6. Par or stated value of security to be registered: 7. Were the securities the applicant is seeking to register acquired in the ordinary and usual course of business by the No Yes applicant and are not part of an unsold allotment or an attempt to evade the Oregon Securities Law? 8. Please attach a separate statement describing the reasons why the exemption is being sought. 9. Is the registration being submitted directly or indirectly on behalf of: The issuer? Yes No Any director of the issuer? Yes No Any controlling person of the issuer? Any officer of the issuer? Yes Yes No No The beneficial owner of more than 10 percent of the outstanding units or shares of any equity security of No Yes the issuer? 10. Is the applicant or any associated person affiliated directly or indirectly with the issuer? 11. Is the registration being sought directly or indirectly for the benefit of another broker-dealer? Yes No If yes, please state the name of the broker-dealer: Continued Visa MasterCard Discover Make check or money order payable to Department of Consumer and Business Services. Phone: Credit card number Expiration date Mail application with payment to: DCBS — Fiscal Services P.O. Box 14610 Salem, OR 97309-0445 Name of cardholder as shown on credit card $ Cardholder signature Amount Secure fax for credit card payments: 503-947-2333 Fiscal use only: 62110-1008 If paying by credit card, the applicant must sign the credit-card information box. 440-2203 (2/11/COM) Page 1 American LegalNet, Inc. www.FormsWorkFlow.com II. Identity and background of the issuer: 12. Name of issuer: 13. Street address of principal executive office of the issuer: City: State: ZIP: 14. Chief executive officer of the issuer: 15. Issuer’s phone number: 16. State of incorporation: 17. Is the issuer organized under the laws of the United States or any state as defined in ORS 174.100? Yes No 18. Type of organization: 19. Names and addresses of each of the issuer’s current officers (attach additional sheets, if necessary): 20. Names and addresses of each of the issuer’s current directors (attach additional sheets, if necessary): 21. Name and address of any officer or director that has held office within the past five years (attach additional sheets, if necessary): 22. Number of employees on a recent date: Specify the date: 23. To the best of the applicant’s knowledge, has the issuer, any executive officer, director, or general partner of the issuer within the past five years of the date of this application: • Been the subject of an administrative order issued by the director of the Department of Consumer and Business Services (DCBS) for violation of any provision of the Oregon Securities Law or any rule or order of the director? Yes No • Been or is engaged in dishonest or fraudulent conduct with regard to securities? Yes No • Been convicted of a misdemeanor, an essential element of which is fraud? Yes No • Been convicted of a felony? Yes No Continued 440-2203 (2/11/COM) Page 2 American LegalNet, Inc. www.FormsWorkFlow.com Made or caused to be made to the director any false representations of a material fact or has suppressed or withheld from the director any material information? Yes No • Refused to permit an examination to be made by the director of DCBS or failed to file any report, including any financial report, or furnish any information required by the director in connection with the Oregon Securities Law? Yes No • Been the subject to any order entered by a governmental agency or self-regulatory organization prohibiting or suspending the person from engaging in or continuing any conduct or practice involving any aspect of the securities business? Yes No • Been subject to any judgment or decree of any court of competent jurisdiction, which is based on either securities violations or fraud? Yes No If the answer to any of these questions is “yes,” give details in an attached statement. Include an identification of the jurisdiction, relevant dates, charge, and disposition of the matter. • 24. Name and location of each subsidiary of the issuer (attach additional sheets, if necessary): 25. Describe the nature of products or services offered by the issuer (attach additional sheets, if necessary): 26. Describe the nature and extent of the issuer’s facilities (attach additional sheets, if necessary): 27. Describe the history of the issuer, including dates of consolidations, mergers, or spinoffs. Give names of companies, partnerships, etc. involved (attach additional sheets, if necessary): Continued 440-2203 (2/11/COM) Page 3 American LegalNet, Inc. www.FormsWorkFlow.com III. Description of issuer’s securities: 28. Number of shares or total amount of the securities outstanding as of the end of the issuer’s most recent fiscal year: Number of shares or units eligible for secondary trading without the benefit of registration under the Securities Act of 1933: 29. Has the issuer made an offer, except to employees, of the same class of securities sought to be registered in the past six months? Yes No 30. Dates of securities issued in a public offering, if any (attach additional sheets, if necessary): States in which those securities were issued: Number of shares: Price per share (adjusted to reflect present capitalization): Net proceeds to the issuer: Name and address of the underwriter: Attach copies of the latest prospectus, annual report, and proxy statement for the securities. 31. Disclose all facts pertaining to the issuance of securities in transactions other than those described in No. 30. Include a description of warrants and options that have been granted but not yet authorized. 32. The issuer had of stockholders on . Number Recent date 33. Number of people domiciled in the United States who beneficially own more than 10 percent or more of the outstanding securities of the security sought to be registered: 34. Date of the issuer’s annual meeting: IV. Financial status of the issuer: 35. Is the issuer insolvent or in unsound financial condition? Yes No 36. Attach audited balance sheet, income statement, and statement of cash flows of the issuer’s most recent fiscal year. 37. In addition to the financial data requested in No. 36, include a statement from an officer of the issuer that to the best of his or her knowledge and belief that there have been no material adverse changes in the financial condition of the issuer since the date of the last audited financial statement. 38. Attach audited or unaudited balance sheet, income statement, statement of cash flows for the issuer’s most recent fiscal year and for the last three fiscal years. V. Identity of the issuer’s transfer agent: 39. Name of the issuer’s transfer agent: 40. Street address of transfer agent: City: State: ZIP: Continued 440-2203 (2/11/COM) Page 4 American LegalNet, Inc. www.FormsWorkFlow.com Signature and affirmation: I am the duly authorized of Title or position Name of applicant and I have read and am familiar with the information in this Application for Registration for Resale, or Dealing and Trading form and with all other materials or documents to be used in connection with the sale of securities to be made pursuant thereto. I am aware of and will comply with all applicable requirements in ORS 59.035(9) and OAR 441-065-0040 promulgated thereunder and the Oregon Securities Law. To the best of my knowledge, information, and belief, the information contained in this form is true, correct, and complete. I am duly authorized to execute this form and to make this affirmation for and on behalf of the applicant. Typed name Typed title or position Authorized signature Date 440-2203 (2/11/COM) Page 5 American LegalNet, Inc. www.FormsWorkFlow.com