Last updated: 1/24/2007
Notice Claiming Maryland Limited Offering Exemption {MLOE-1}
Start Your Free Trial $ 23.99What you get:
- Instant access to fillable Microsoft Word or PDF forms.
- Minimize the risk of using outdated forms and eliminate rejected fillings.
- Largest forms database in the USA with more than 80,000 federal, state and agency forms.
- Download, edit, auto-fill multiple forms at once in MS Word using our Forms Workflow Ribbon
- Trusted by 1,000s of Attorneys and Legal Professionals
Description
FORM MLOE-1 State of Maryland Office of the Attorney General Securities Division NOTICE CLAIMING MARYLAND LIMITED OFFERING EXEMPTION (MLOE) Under The Maryland Securities Act Section 11-602(9) and Regulations 02.02.04.09-.13 If the aggregate dollar amount of the securities offered everywhere exceeds $150,000 in any transaction under the Maryland Limited Offering Exemption (MLOE), the issuer shall deliver this Notice to the Securities Commissioner by the end of business on the fifteenth day after the first sale of securities in Maryland. This Notice shall be considered filed with the Division for purposes of MLOE as of the date the Division receives the Notice, Form U-2 (Uniform Consent to Service of Process), and filing fee of $400 paid by check. Make checks payable to "Office of the Attorney General", and submit to "Maryland Division of Securities, 200 St. Paul Place, Baltimore, Maryland 21202-2020". For copies of the statutes, regulations, and forms, contact the Maryland Division of Securities at 410-576-7050. Please attach additional sheets if additional space is required. Applicable" if an item does not apply. 1. Name of Issuer Indicate "Not Address of Issuer ______________________________________________ ( ) City, State, Zip Code Telephone Number _________________________________ e-mail ______________________________________ website address 2. Other contact to whom communications regarding this Notice should be directed: Name Address ( ) Telephone Number American LegalNet, Inc. www.FormsWorkflow.com City, State, Zip Code MLOE-1/Page 2 3. Please describe, in summary form, the issuer's business: 4. Issuer's type of business organization: _____ _____ _____ _____ Corporation _____ Real estate investment trust Partnership _____ Joint venture Limited liability company Other* (specify) ____________________________________________________ *If "Other," please attach a copy of the Securities Commissioner's order extending the availability of MLOE to the issuer, or a request for such an order. 5. Issuer's year of formation: ___________________________________________________ 6. Issuer's jurisdiction of formation: _____________________________________________ 7. The issuer's exemption from federal registration for this offering: _____ _____ _____ _____ Section 4(2) _____ Section 3(a)(11) Rule 504 _____ Rule 701 Rule 147 Other* (specify) ____________________________________________________ *If "Other", please attach a copy of the Securities Commissioner's order extending the availability of MLOE to the issuer, or a request for such an order. American LegalNet, Inc. www.FormsWorkflow.com MLOE-1/Page 3 8. The other states in which the issuer proposes to offer or sell securities in connection with this offering: 9. The type of securities being offered are: _____ _____ _____ _____ _____ _____ _____ _____ _____ Common stock _____ Shares of beneficial interest Notes _____ Warrants, options or rights to purchase Bonds or subscribe for any of the above Debentures _____ Preferred Stock Evidence of indebtedness _____ Convertible Securities Voting trust certificates _____ LLC memberships Limited Partnership interests _____ General Partnership Interests Other securities convertible into any of the above Other* (specify) ____________________________________________________ ________________________________________________________________________ *If "Other," please attach a copy of the Securities Commissioner's order extending the availability of MLOE to the issuer, or a request for such an order. 10. Within the six months before this offering began, did the issuer offer or sell any securities of the same or similar class as those being sold in Maryland under this offering? Yes No If "Yes," and the issuer is located in Maryland, or the securities were sold in Maryland: (a) (b) (c) Describe the security(ies) _____________________________________________ Provide the date previous offering began and date it terminated _______________ What exemption did the issuer rely upon? ________________________________ If "Yes," the issuer may refer to COMAR 02.02.04.10.B(4), describing integration, and consider addressing B(4) (a) through (e) on separate sheets. American LegalNet, Inc. www.FormsWorkflow.com MLOE-1/Page 4 11. (a) (b) Date this offering began: Date of the first sale in Maryland (See Maryland Securities Act, Corporations and Associations Article, §11-801, Annotated Code of Maryland): 12. (a) (b) (c) (d) (e) Aggregate price of all securities offered everywhere: $ Aggregate price of all securities offered in Maryland: $ Number of units offered: Price per unit offered: $ Warrants __________________________________________________________ 13. On separate sheets, please state the name, home address and position of each officer, director, managing member, general partner, or trustee of the issuer. If the general partner or trustee is a corporation or other entity, provide the requested information for each officer, director, managing member, or general partner of that entity. 14. On separate sheets, state the name and home address of each beneficial owner of 10 percent or more of the outstanding shares of any class of equity ownership of the issuer. 15. On separate sheets, state the name, CRD number, address and telephone number of each broker/dealer authorized by the issuer to sell securities of the issuer in this offering. 16. On separate sheets, state the name, CRD number, address and telephone number of each individual or finder authorized by the issuer to sell securities of the issuer in this offering. Is (are) the person(s) affiliated with the issuer? Yes If "yes", in what capacity: Type and value of any remuneration to the person(s) for sale of securities (if "none", please so state): No Is this person a broker-dealer or a broker-dealer agent? Yes No American LegalNet, Inc. www.FormsWorkflow.com MLOE-1/Page 5 17. Indicate whether : (a) the issuer, (b) any of its directors, officers, general partners, managing members, trustees, or any other person performing similar functions, (c) beneficial owners of ten percent or more of any class of its equity securities, (d) any of the issuer's promoters currently connected with it in any capacity, or (e) any person (other than a broker-dealer currently registered under the Maryland Securities Act, §11-405, Annotated Code of Maryland) that has been or will be paid or given, directly or indirectly, a commission or similar remuneration for the solicitation of