Section 63 Form D-Notice of Exempt Offering of Securities
Library | Business Transitions 2009 Forms |
The following form is available on the internet at the Missouri Secretary of State's website at:
www.sos.mo.gov/securities/registration2.asp
You may not send a completed printout of this form to the SEC to satisfy a filing obligation. You can only satisfy an SEC filiing obligation by submitting the information required by this form to the SEC in electronic format online at https://www.onlineforms.edgarfiling.sec.gov.
FORM D
Notice of Exempt Offering of Securities
U.S. Securities and Exchange Commission
Washington, DC 20549
(See instructions beginning on page 5)
Intentional misstatements or omissions of fact constitute federal criminal violations. See 18 U.S.C. 1001.
+---------------------------+ | OMBAPPROVAL | +---------------------------+ | OMB Number: 3235-0076 | +---------------------------+ | Expires: June 30, 2012 | +---------------------------+ | Estimated average burden | | hours per response: 4.00 | +---------------------------+
Item 1. Issuer's Identity
Name of Issuer_________________
Jurisdiction of Incorporation/Organization_________________
Year of Incorporation/Organization (Select one)
[ ] Over Five Years Ago [ ] Within Last Five Years (specify year)
[ ] Yet to Be Formed
Previous Name(s)_________________ [ ] None
Entity Type (Select one)
[ ] Corporation
[ ] Limited Partnership
[ ] Limited Liability Company
[ ] General Partnership
[ ] Business Trust
[ ] Other (Specify)
(If more than one issuer is filing this notice, check this box Q and identify additional issuer(s) by attaching Items 1 and 2 Continuation Page(s).)
Item 2. Principal Place of Business and Contact Information
Street Address 1_________________
Street Address 2_________________
City_________________
State/Province/Country_________________
ZIP/Postal Code_________________
Phone No._________________
Item 3. Related Persons
Last Name_________________
First Name_________________
Middle Name_________________
Street Address 1_________________
Street Address 2_________________
City_________________
State/Province/Country_________________
ZIP/Postal Code_________________
Relationship(s): [ ] Executive Officer [ ] Director [ ] Promoter
Clarification of Response (if Necessary)
(Identify additional related persons by checking this box Q and attaching Item 3 Continuation Page(s). )
Item 4. Industry Group (Select one)
[ ] Agriculture Banking and Financial Services
[ ] Commercial Banking
[ ] Insurance
[ ] Investing
[ ] Investment Banking
[ ] Pooled Investment Fund If selecting this industry group, also select one fund type below and answer the question below:
[ ] Hedge Fund
[ ] Private Equity Fund
[ ] Venture Capital Fund
[ ] Other Investment Fund
Is the issuer registered as an investment company under the Investment Company Act of 1940? [ ] Yes [ ] No
[ ] Other Banking & Financial Services
[ ] Business Services Energy
[ ] Electric Utilities
[ ] Energy Conservation
[ ] Coal Mining
[ ] Environmental Services
[ ] Oil & Gas
[ ] Other Energy
Health Care
[ ] Biotechnology
[ ] Health Insurance [ ] Hospitals & Physcians [ ] Pharmaceuticals [ ] Other Health Care [ ] Manufacturing Real Estate
[ ] Commercial
[ ] Construction
[ ] REITS & Finance
[ ] Residential
[ ] Other Real Estate
[ ] Retailing
[ ] Restaurants
Technology
[ ] Computers
[ ] Telecommunications
[ ] Other Technology
Travel
[ ] Airlines & Airports [ ] Lodging & Conventions [ ] Tourism & Travel Services [ ] Other Travel
[ ] Other
Item 5. Issuer Size (Select one)
Revenue Range (for issuer not specifying "hedge" or "other investment" fund in Item 4 above)
[ ] No Revenues
[ ] $1 - $1,000,000
[ ] $1,000,001 - $5,000,000
[ ] $5,000,001 - $25,000,000
[ ] $25,000,001 - $100,000,000
[ ] Over $100,000,000
[ ] Decline to Disclose
[ ] Not Applicable
OR
Aggregate Net Asset Value Range (for issuer specifying "hedge" or "other investment" fund in Item 4 above)
[ ] No Aggregate Net Asset Value
[ ] $1 - $5,000,000
[ ] $5,000,001 - $25,000,000
[ ] $25,000,001 - $50,000,000
[ ] $50,000,001 - $100,000,000
[ ] Over $100,000,000
[ ] Decline to Disclose
[ ] Not Applicable
Item 6. Federal Exemptions and Exclusions Claimed (Select all that apply)
Investment Company Act Section 3(c)
[ ] Rule 504(b)(1) (not (i), (ii) or (iii))
[ ] Rule 504(b)(1)(i)
[ ] Rule 504(b)(1)(ii)
[ ] Rule 504(b)(1)(iii)
[ ] Rule 505
[ ] Rule 506
[ ] Securities Act Section 4(6)
[ ] Section 3(c)(1)
[ ] Section 3(c)(2)
[ ] Section 3(c)(3)
[ ] Section 3(c)(4)
[ ] Section 3(c)(5)
[ ] Section 3(c)(6)
[ ] Section 3(c)(7)
[ ] Section 3(c)(9)
[ ] Section 3(c)(10)
[ ] Section 3(c)(11)
[ ] Section 3(c)(12)
[ ] Section 3(c)(13)
[ ]Section 3(c)(14)
Item 7. Type of Filing
[ ] New Notice OR [ ] Amendment
Date of First Sale in this Offering:_____________ OR [ ] First Sale Yet to Occur
Item 8. Duration of Offering
Does the issuer intend this offering to last more than one year? [ ] Yes [ ] No
Item 9. Type(s) of Securities Offered (Select all that apply)
[ ] Equity
[ ] Debt
[ ] Option, Warrant or Other Right to Acquire Another Security
[ ] Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security
[ ] Pooled Investment Fund Interests
[ ] Tenant-in-Common Securities
[ ] Mineral Property Securities
[ ] Other (Describe)
_____________________________
Item 10. Business Combination Transaction
Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer? [ ] Yes [ ] No
Clarification of Response (if Necessary)_______________________________
Item 11. Minimum Investment
Minimum investment accepted from any outside investor $___________
Item 12. Sales Compensation
Recipient___________________
Recipient CRD Number_________________ [ ] No CRD Number
(Associated) Broker or Dealer_______________ [ ] None
(Associated) Broker or Dealer CRD Number_____________________ [ ] No CRD Number
Street Address 1_________________
Street Address 2_________________
City_________________...
Get this document and AI-powered insights with a free trial of vLex and Vincent AI
Get Started for FreeStart Your 3-day Free Trial of vLex and Vincent AI, Your Precision-Engineered Legal Assistant
-
Access comprehensive legal content with no limitations across vLex's unparalleled global legal database
-
Build stronger arguments with verified citations and CERT citator that tracks case history and precedential strength
-
Transform your legal research from hours to minutes with Vincent AI's intelligent search and analysis capabilities
-
Elevate your practice by focusing your expertise where it matters most while Vincent handles the heavy lifting

Start Your 3-day Free Trial of vLex and Vincent AI, Your Precision-Engineered Legal Assistant
-
Access comprehensive legal content with no limitations across vLex's unparalleled global legal database
-
Build stronger arguments with verified citations and CERT citator that tracks case history and precedential strength
-
Transform your legal research from hours to minutes with Vincent AI's intelligent search and analysis capabilities
-
Elevate your practice by focusing your expertise where it matters most while Vincent handles the heavy lifting

Start Your 3-day Free Trial of vLex and Vincent AI, Your Precision-Engineered Legal Assistant
-
Access comprehensive legal content with no limitations across vLex's unparalleled global legal database
-
Build stronger arguments with verified citations and CERT citator that tracks case history and precedential strength
-
Transform your legal research from hours to minutes with Vincent AI's intelligent search and analysis capabilities
-
Elevate your practice by focusing your expertise where it matters most while Vincent handles the heavy lifting

Start Your 3-day Free Trial of vLex and Vincent AI, Your Precision-Engineered Legal Assistant
-
Access comprehensive legal content with no limitations across vLex's unparalleled global legal database
-
Build stronger arguments with verified citations and CERT citator that tracks case history and precedential strength
-
Transform your legal research from hours to minutes with Vincent AI's intelligent search and analysis capabilities
-
Elevate your practice by focusing your expertise where it matters most while Vincent handles the heavy lifting

Start Your 3-day Free Trial of vLex and Vincent AI, Your Precision-Engineered Legal Assistant
-
Access comprehensive legal content with no limitations across vLex's unparalleled global legal database
-
Build stronger arguments with verified citations and CERT citator that tracks case history and precedential strength
-
Transform your legal research from hours to minutes with Vincent AI's intelligent search and analysis capabilities
-
Elevate your practice by focusing your expertise where it matters most while Vincent handles the heavy lifting
