Form 133.6 - Secondary Trading Exemption Notice (Section 5.o, Texas Securities Act) Page 2
Download a blank fillable Form 133.6 - Secondary Trading Exemption Notice (Section 5.o, Texas Securities Act) in PDF format just by clicking the "DOWNLOAD PDF" button.
Open the file in any PDF-viewing software. Adobe Reader or any alternative for Windows or MacOS are required to access and complete fillable content.
Complete Form 133.6 - Secondary Trading Exemption Notice (Section 5.o, Texas Securities Act) with your personal data - all interactive fields are highlighted in places where you should type, access drop-down lists or select multiple-choice options.
Some fillable PDF-files have the option of saving the completed form that contains your own data for later use or sending it out straight away.
ADVERTISEMENT
1
2
3
4Form
133.6
Names and addresses of any other officers and/or directors who have held office
within the past 5 years, who have not been named in any prior Secondary Trading
Exemption Notices:
(b)
Has the Issuer or any person named in Item 4(a):
(1)
been charged, indicted or convicted of any felony or misdemeanor of which
fraud is an essential element?
If yes, give details in an attached statement. Include
G No
G Yes
identification of court, pertinent dates, style and number of case, charge,
and disposition of case.
(2)
been subject to a permanent or temporary injunction instituted by any court?
G No
G Yes
If yes, give details in an attached statement. Include
identification of court, pertinent dates, style and number of case, charge, and
disposition of case.
5.
Name and address of transfer agent:
6.
Attach certified financial statements of the Issuer. Such financial statements (consolidated,
if applicable) shall include a balance sheet for the most recent fiscal year and the related
statements of income, changes in stockholders’ equity and statements of cash flow for the
3 years ending as of the balance sheet date (or for the period of existence of the Issuer, if
such period is less than 3 years).
08-16-2010
ADVERTISEMENT
0 votes
Related Articles
Related forms
Related Categories
Parent category: Financial