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Uniform Application To Register Securities Form. This is a Wyoming form and can be use in Blue Sky Secretary Of State.
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Tags: Uniform Application To Register Securities, U-1, Wyoming Secretary Of State, Blue Sky
UNIFORM APPLICATION TO REGISTER SECURITIES
FORM U-1
Application to Wyoming Securities Division of the State of Wyoming pursuant to Section 17-4-110
of the Wyoming Securities Act.
1.
Name and address of Issuer and principal office this state:
COURT
COUNTY .OF. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
......... ..
:
2.
Name, address and telephone number of correspondent to whom notices and
:
communications regarding this application may be sent: Calendar No.
:
Plaintiff(s)
-against-
3.
Index No.
JUDICIAL SUBPOENA
:
Name and address of applicant:
:
(Same as 1 above)
:
Defendant(s)
:
......................................................
4.
Registration or acceptance for filing is sought for the following described securities in the
amounts indicated:
THE PEOPLE OF THE STATE OF NEW YORK
Offering
Price or
Proposed
Offering
Price
TO
Description
of Securities
GREETINGS:
Common Stock Subscriptions
Total Offering
No. of Shares
or Units
Amount
Offering in this State
No. of Shares
or Units
$
Amount
$
Totals
$
$
WE COMMAND YOU, that all business and excuses being laid aside, you and each of you attend before
,
the Honorable
at the
Court
located at
County of
be
in room Indicate ,the the
on maximum commission to , 20charged: ________________% noon, and at any recessed
day of
, at
o'clock in the
or adjourned date, to testify and give evidence as a witness in this action on the part of the
5.
Amount of filing and examination fees which are enclosed: $_______
6.
A registration Statement was filed with the Securities and Exchange Commission on
Your failure to comply with this subpoena is punishable as a contempt of court and will make you liable to
__________________________________________
the party on whose behalf this subpoena was issued for a maximum penalty of $50 and all damages sustained as a
result of your failure to comply. (date)
and (became) (will become) effective on ________________________
(date) , one of the Justices of the
Witness, Honorable
7. in (a)
List County, in which it is proposed to offer the securities for sale to the public.
the states day of
Court
, 20
(b)
(c)
8.
List the states, if any, in which the securities are eligible for sale to the public.
List the states, if any, which have refused, by order or otherwise, to authorize sale
of the securities to the public, or have revoked or suspended the right to sell the
securities, or in which an application has been withdrawn.
Attorney(s) for
(Attorney must sign above and type name below)
Submitted herewith as a part of the application are the following documents
(documents on file may be incorporated by reference):
Office and P.O. Address
Telephone No.:
Facsimile No.:
E-Mail Address:
Mobile Tel. No.:
American LegalNet, Inc.
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(a)
One copy of the registration statement and two copies of Prospectus in
the latest form on file under the Securities Act of 1933.
(b)
Underwriting Agreement, Agreement among Underwriters, and Selected Dealers
Agreement.
(c)
Indenture.
(d)
IssuerÂ’s charter or articles of incorporation as amended to date.
(e)
IssuerÂ’s by-laws as amended to date.
COURT
COUNTY .OF. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
......... ..
(f)
Signed copy of opinion of counsel filed with:Registration Statement pursuant to
Index No.
the Securities Act of 1933.
(g)
:
Calendar No.
Specimen (type of security) _________________________.
Plaintiff(s)
:
JUDICIAL SUBPOENA
(h)
Consent to service of process accompanied by appropriate corporate resolution.
-against:
(i)
If an earning computation or similar requirement is required to be met in this
:
state, attach a separate sheet as an exhibit showing compliance.
:
(k)
Others (list each):
Defendant(s)
:
......................................................
9. The applicant hereby applies for registration or acceptance for filing of the above d
described securities under the law cited above and in consideration thereof agrees so
THE PEOPLE OF THE STATE OF NEW YORK
long as the registration remains in effect that it will:
TO
(a)
GREETINGS:
(b)
Advise the above named state authority of any change prior to registration in this
state in any of the information contained herein or in any of the documents
submitted with or as a part of this application.
File with the above named state authority within two business days after filing
WE COMMAND YOU, that all business and excuses being laid aside, you and each of you attend before
with the Securities and Exchangethe
Commission (i) any amendments other than
,
the Honorable
at
Court
delaying amendments at the federal registration statement, designating the
to
located
County of
changed revised or added material or information by underlying the same; andany recessed
in room
, on the
day of
, 20
, at
o'clock in the
noon, and at (ii)
thetestifyprospectus, or anyas a witness in this action on the part of the
final and give evidence further amendments or supplements thereto.
or adjourned date, to
(c)
Notify the above named state authority within two business days (i) upon the
receipt of any stop order, denial, order to show cause, suspension or revocation
Your failure to comply with this subpoena is punishable as a contempt of court and will make you liable to
order, injunction or restraining order, maximum penalty of $50 and all damages sustained as a
the party on whose behalf this subpoena was issued for a or similar order entered or issued by another
state comply.
result of your failure to or other regulatory authority or by any court, concerning the securities
covered by this application or other securities of the issuer currently being offered
to the public; and (ii) upon the receipt of any notice ofone of the Justices said
Witness, Honorable
, effectiveness of of the
registration by the Securities and Exchange Commission.
Court in
County,
day of
, 20
(d)
Notify the above named state authority at least two business days prior to the
effectiveness of said registration with the Securities and Exchange Commission of
(Attorney must sign above and type name below)
(i) any request by the issuer or applicant to any other state or regulatory authority
for permission to withdraw any application to register the securities described
herein; and (ii) a list of all states in which application have been filed where the
Attorney(s) for
issuer or applicant has received notice from the state authority that the application
does not comply with state requirements and cannot or does not intend to comply
with such requirements.
Office and P.O. Address
Telephone No.:
Facsimile No.:
E-Mail Address:
Mobile Tel. No.:
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(e)
Furnish promptly all such additional information and documents in respect the
issuer or the securities covered by this application as may be requested by the
above-named state authority prior to registration or acceptance for filing.
Date: _______________________
COURT
_________________________________________________
Name of Applicant
COUNTY . .
. . . . . . . . . .OF. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
:
Index No.
BY:___________________________________
Calendar No.
(Name :and Title)
STATE OF:__________________
-against-
COUNTY OF: ________________
Plaintiff(s)
ss
:
JUDICIAL SUBPOENA
:
:
says:
:
The undersigned, __________________________________, being duly sworn, deposes and
Defendant(s)
:
......................................................
That he has executed the foregoing application for and on behalf of the applicant name therein;
that he is _______________________ of such applicant and is fully authorized to execute and file
such application; that he STATE OF with such application and that to the best of his knowledge,
is familiar NEW YORK
THE PEOPLE OF THE
information and belief the statements made in such application are true and the documents submitted
therein are true copies or the originals thereof.
TO
_________________________________
Name
GREETINGS:
WE COMMAND YOU, that all business and excuses being laid aside, you and each of you attend before
,
the Honorable
at the
Court
Subscribed and sworn to before me
located at
County of
this _________day of ___________ ,______
in room
, on the
day of
, 20
, at
o'clock in the
noon, and at any recessed
or adjourned date, to testify and give evidence as a witness in this action on the part of the
_____________________________________
Your failure to comply with this subpoena is punishable as a contempt of court and will make you liable to
Notary Public
the party on whose behalf this subpoena was issued for a maximum penalty of $50 and all damages sustained as a
result of your failure to comply.
In and for the County of __________________
State of _______________________________
Witness, Honorable
My Commission Expires: __________________
Court in
County,
day of
(Notarial Seal)
, one of the Justices of the
, 20
(Attorney must sign above and type name below)
Attorney(s) for
Office and P.O. Address
u1
Telephone No.:
Facsimile No.:
E-Mail Address:
Mobile Tel. No.:
American LegalNet, Inc.
www.USCourtForms.com