Form 133.30 - Information Concerning Projected Market Prices And Related Market Information - Texas State Securities Board

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Form
133.30
Texas State Securities Board
P.O. Box 13167
Austin, Texas 78711-3167
Information Concerning Projected Market Prices and Related Market Information
(§109.7 and Section 5.O(3), Texas Securities Act)
(Supplement to Form 133.5 or Form 133.6)
Section 5.O(3) provides that securities should be offered for sale at prices reasonably related to
the current market price of such security at the time of sale. The Texas Securities Board has
interpreted the language “at prices reasonably related to the current market price of such security
at the time of sale” to mean that the market price of such security in the existing secondary market
must have a basis supported by a substantial volume of bona fide sales transactions within or
without this state. Additionally, the Board policy provides that in the absence of a going market
or where there have been only casual transactions, it shall be incumbent on the person filing the
Section 5.O Exemption Notice to prove to the Commissioner that the security will have a market
price that has been fairly determined and justified at inception with reasonable assurance of
continuity of the market into the future.
This procedure would include consideration by the Commissioner of criteria established in the
items set out below. If additional space is needed to complete any item, please submit attached
sheets, identifying each item by number.
(Note: If the requested information is contained in a 10-K or 10-Q report submitted to our Agency,
answers may be made by appropriate references.)
1. Describe the nature and extent of the business operations of the issuer and its predecessor, if
any, and the period of time during which the issuer and its predecessor, if any, has been
continuously engaged in business.
2. The net asset value of the stock per share.
08-16-2010

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