Offering Exemption definition

Offering Exemption. ☐ Rule 506(b) of Regulation D ☐ Rule 506(c) of Regulation D ☐ Regulation A ☐ Regulation Crowdfunding ISSUER (If a Series LLC, include both the Series and the Series LLC): Entity Name: Entity Name: Jurisdiction: Jurisdiction: By: By: (Signature) (Signature) Name: Name: Title: Title: Date: Date: Email: Email: With a copy to: With a copy to: Address: Address: MANAGER: NCPS: Entity Name: North Capital Private Securities Corporation Jurisdiction: Jurisdiction: Delaware By: By: (Signature) (Signature) Name: Name: Title: Title: Date: Date: Email: Email: jxxxx@xxxxxxxxxxxx.xxx Address: With a copy to: lxxxxxxxx@xxxxxxxxxxxx.xxx dxxxxxx@xxxxxxxxxxxx.xxx exxxxx-xxx@xxxxxxxxxxxx.xxx Address: 600 X. Xxxx Xxxxx Xxxxxxxxx, Xxxxx 000 Xxxxxxx, Xxxx 00000 Issuer Party Payment Information: ☐ Use payment information currently on file with NCPS; or Complete the payment information below: Credit Card ACH/Wire Information Name on Card: Bank Name: Credit Card Number: Account Holder Name: Expiration Date (MM/YY): Routing Number: Billing Address: Account Number: Account Type (Checking/Savings): Billing Contact Person Name: Email: Telephone Number:
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Offering Exemption. ☐ Rule 506(b) of Regulation D ☐ Rule 506(c) of Regulation D ☐ Regulation A ☐ Regulation Crowdfunding ISSUER: NCPS: Entity Name: North Capital Private Securities Corporation Jurisdiction: Jurisdiction: Delaware By: By: (Signature) (Signature) Name: Name: Title: Title: Date: Date: Email: xxxxx@xxxxxxxxxxxx.xxx Email: With a copy to: xxxxxxxxx@xxxxxxxxxxxx.xxx With a copy to: xxxxxxxx@xxxxxxxxxxxx.xxx Address: 000 X. Xxxx Xxxxx Xxxxxxxxx, Xxxxx 000 Address: Xxxxxxx, Xxxx 00000
Sample 1
Offering Exemption. ¨ Rule 506(b) of Regulation D ¨ Rule 506(c) of Regulation D ¨ Regulation A ¨ Regulation Crowdfunding ISSUER (If a Series LLC, include both the Series and the Series LLC): Entity Name: Jurisdiction: By: (Signature) Name: Title: Date: Email: With a copy to: Address: Entity Name: Jurisdiction: By: (Signature) Name: Title: Date: Email: With a copy to: Address: MANAGER: NCPS: Entity Name: Jurisdiction: By: (Signature) Name: Title: Date: Email: Address: Entity Name: Delaware Jurisdiction: By: (Signature) Name: Title: Date: Email: With a copy to: Address: Issuer Party Payment Information: ¨ Use payment information currently on file with NCPS; or Complete the payment information below: Credit Card ACH/Wire Information Name on Card: Credit Card Number: Expiration Date (MM/YY): Billing Address: Bank Name: Account Holder Name: Routing Number: Account Number: Account Type (Checking/Savings): Billing Contact Person Name: Email: Telephone Number: EXHIBIT A
Sample 1

Examples of Offering Exemption in a sentence

  • Neither the Company nor any of its affiliates will take any action or steps that would cause the offer of the Securities to be integrated with other offerings if such integration would eliminate the Offering Exemption.

  • The Company or any of its affiliates will not take any action or steps that would cause the offer of the Securities to be integrated with other offerings if such integration would eliminate the Offering Exemption.

  • The Company will file a Notice of Sale of Securities Pursuant to Regulation D Section 4(6), and/or Uniform Limited Offering Exemption (“Form D”) with the Securities and Exchange Commission within 15 days of Closing Date.

  • State: This notice shall be used to indicate reliance on the Uniform Limited Offering Exemption (ULOE) for sales of securities in those states that have adopted ULOE and that have adopted this form.

  • The undersigned issuer represents that the issuer is familiar with the conditions that must be satisfied to be entitled to the Uniform Limited Offering Exemption (ULOE) of the state in which this notice is filed and understands that the issuer claiming the availability of this exemption has the burden of establishing that these conditions have been satisfied.

  • The Shares are being sold by the Bancorp in an offering under an exemption from registration under Tier 1 of Regulation A+ of the Securities and Exchange Commission (the “SEC”) under the Securities Act of 1933 (the “Act”) and the Limited Offering Exemption Notice pursuant to Section 25102(f) of the California Corporations Code.

  • STATE: This notice shall be used to indicate reliance on the Uniform Limited Offering Exemption (ULOE) for sales of securities in those states that have adopted ULOE and that have adopted this form.

  • The Company agrees to file a Notice of Sale of Securities pursuant to Regulation D, Section 4(6), and/or Uniform Limited Offering Exemption on Form D with respect to the Shares as required under Regulation D and to provide a copy thereof to the Purchasers promptly after such filing.

  • The Parties shall, and shall cause their respective counsels to, cooperate to obtain the ISA Offering Exemption and to facilitate each other Party’s and its counsel’s involvement in all communications with and submission of documents and information to the ISA in connection with the application and receipt of the ISA Offering Exemption.

  • The undersigned issuer represents that the issuer is familiar with the conditions that must be satisfied to be entitled to the Uniform limited Offering Exemption (ULOE) of the state in which this notice is filed and understands that the issuer claiming the availability of this exemption has the burden of establishing that these conditions have been satisfied.


More Definitions of Offering Exemption

Offering Exemption. Rule 506(b) of Regulation D Rule 506(c) of Regulation D Regulation A Regulation Crowdfunding ISSUER (If a Series LLC, include both the Series and the Series LLC): Entity Name: Entity Name: Jurisdiction: Jurisdiction: By: By: (Signature) (Signature) Name: Name: Title: Title: Date: Date: Email: Email: With a copy to: With a copy to: Address: Address: MANAGER: NCPS: Entity Name: North Capital Private Securities Corporation Jurisdiction: Jurisdiction: Delaware By: By: (Signature) (Signature) Name: Name: Title: Title: Date: Date: Email: Email: xxxxx@xxxxxxxxxxxx.xxx Address: With a copy to: xxxxxxxxx@xxxxxxxxxxxx.xxx xxxxxxx@xxxxxxxxxxxx.xxx xxxxxx-xxx@xxxxxxxxxxxx.xxx Address: 000 X. Xxxx Xxxxx Xxxxxxxxx, Xxxxx 000 Midvale, Utah 84047
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Related to Offering Exemption

  • New Exemption means the exemption from real property taxation provided hereunder with respect to the Exemption Area.

  • Underwriter’s Exemption Prohibited Transaction Exemption 2002-41, 67 Fed. Reg. 54487 (2002), as amended (or any successor thereto), or any substantially similar administrative exemption granted by the U.S. Department of Labor.

  • QPAM Exemption is defined in Section 6.2(d).

  • Statutory Exemption means the statutory exemption under Section 408(b)(17) of ERISA and Section 4975(d)(20) of the Code.

  • INHAM Exemption is defined in Section 6.2(e).

  • Class Exemption A class exemption granted by the U.S. Department of Labor, which provides relief from certain of the prohibited transaction provisions of ERISA and the related excise tax provisions of the Code.

  • Section 162(m) Exemption means the exemption from the limitation on deductibility imposed by Section 162(m) of the Code that is set forth in Section 162(m)(4)(C) of the Code.

  • Investor-Based Exemption Any of Prohibited Transaction Class Exemption ("PTCE") 84-14 (for transactions by independent "qualified professional asset managers"), PTCE 91-38 (for transactions by bank collective investment funds), PTCE 90-1 (for transactions by insurance company pooled separate accounxx), XXXX 95-60 (for transactions by insurance company general accounts) or PTCE 96-23 (for transactions effected by "in-house asset managers"), or any comparable exemption available under Similar Law.

  • Underwriter Exemption Collectively, (a) Prohibited Transaction Exemption 91-23, granted to a predecessor of Citigroup Global Markets Inc., (b) the prohibited transaction exemption granted to Deutsche Bank Securities Inc., Department Final Authorization Number 97-03E, and (c) the Prohibited Transaction Exemption 2002-19 granted to X.X. Xxxxxx Securities LLC, each as most recently amended by Prohibited Transaction Exemption 2013-08 and as further amended by the Department of Labor from time to time.

  • Prohibited Transaction Class Exemption means U.S. Department of Labor prohibited transaction class exemption 84-14, 90-1, 91-38, 95-60 or 96-23, or any similar prohibited transaction class exemption issued by the U.S. Department of Labor.

  • Tax Exemption means any financial assistance granted to a project which is based upon all or a portion of the taxes which would otherwise be levied and assessed against a project but for the involvement of the Agency in such project.

  • certificate of exemption means any document evidencing that the entity is exempt from

  • Exemption means the exemption from real property taxation provided hereunder.

  • Exemption Period means the period beginning on the first day of the property tax year after the property tax year in which an applicable portion of Economic Development Property is placed in service and ending on the Termination Date. In case there are Phases of the Project, the Exemption Period applies to each year’s investment made during the Investment Period.

  • Personal Securities Transaction means any transaction in a Covered Security in which an Access Person has a direct or indirect Pecuniary Interest.

  • Exemptions means the exemptions from the registration and prospectus or equivalent requirements under Applicable Securities Laws;

  • FRB Regulation D means Regulation D as promulgated by the Board of Governors of the Federal Reserve System, 12 CFR Part 204, as amended.

  • SRM Regulation means Regulation (EU) No 806/2014 of the European Parliament and Council of 15 July 2014 establishing uniform rules and a uniform procedure for the resolution of credit institutions and certain investment firms in the framework of a Single Resolution Mechanism and a Single Resolution Fund and amending Regulation (EU) No 1093/2010, as amended or replaced from time to time.

  • Applicable Securities Law means (i) with respect to any offering of securities in the United States, or any other act or omission within that jurisdiction, the securities law of the United States, including the Exchange Act and the Securities Act, and any applicable securities law of any state of the United States, and (ii) with respect to any offering of securities in any jurisdiction other than the United States, or any related act or omission in that jurisdiction, the applicable securities laws of that jurisdiction.

  • AIFM Regulation means Commission Delegated Regulation (EU) No. 231/2013.

  • Qualified Initial Public Offering means a firm underwritten offering of the Company pursuant to a registration statement under the Securities Act (i) of common Capital Stock having an aggregate gross offering price of at least $50,000,000 and (ii) reasonably expected to result in more than 100 holders of record of Voting Stock of the Company (exclusive of holdings of Affiliates and employees of the Company).

  • Rule 415 Offering means an offering on a delayed or continuous basis pursuant to Rule 415 (or any successor rule to similar effect) promulgated under the Securities Act.

  • Securities Law means the Israeli Securities Law, 5728-1968.

  • Qualifying Public Offering means a firm commitment underwritten public offering of Stock for cash where the shares of Stock registered under the Securities Act are listed on a national securities exchange.