Attachment To Application For Registration Of Securities By Qualification printable pdf download

Attachment To Application For Registration Of Securities By Qualification

STATE OF HAWAII

DEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS

Business Registration Division

335 Merchant Street, Room 203, Honolulu, Hawaii 96813

(808) 586-2722

ATTACHMENT TO APPLICATION FOR REGISTRATION OF SECURITIES BY

QUALIFICATION

Information Required By the Securities Act for Prospectus

(Also refer to Rules and Regulations)

The prospectus shall be dated, and shall have set forth on the outside front cover page, in capital

letters in type as large as that used generally in the body of the prospectus, the statement that

"NEITHER THIS PROSPECTUS NOR THE SECURITIES DESCRIBED HEREIN HAVE BEEN

APPROVED OR DISAPPROVED BY THE COMMISSIONER OF SECURITIES OF THE

STATE OF HAWAII, NOR HAS THE COMMISSIONER PASSED UPON THE ACCURACY

OR ADEQUACY OF THIS PROSPECTUS", and shall include the following, together with such

other information as the Commissioner may prescribe:

(1)

The name and address of the issuer, the name of the jurisdiction under the laws of which it

was organized, and the date of its organization.

(2)

A statement in tabular form of the following information on a per-share or other unit basis

showing the offering price to the public, the underwriting discounts or commissions, and the

proceeds to the issuer or other persons.

(3)

A statement of the amount of securities offered, the aggregate offering price to the public, the

aggregate underwriting discounts or commissions, an estimate of the amount of expenses of

the issuer and the amount of expenses of the underwriters to be borne by the issuer, and the

aggregate proceeds to the issuer or securities holders for whose accounts the securities are

offered.

(4)

If any of the securities are to be offered for the account of any person other than the issuer,

the name and address of each such security holder, the total amount he owns, and the amount

to be offered for his account.

(5)

If the securities are not to be offered for cash, a statement of the basis on which the offering

is to be made.

(6)

A brief description of the method by which the securities are to be offered, and if the offering

is to be made by or through underwriters, the name and address of each underwriter and the

amount of the participation of each underwriter, with a statement of any material relationship

between the issuer and such underwriter.

(over)

Rev. 03/04

Attachment To Application For Registration Of Securities By Qualification