Covered Person Questionnaire for Rule 506 Offerings
You are one or more of the following:
- A general partner, managing member, director, executive officer, or other officer participating in any investment offering, of the Company;
- A beneficial owner of 20% or more of the Company's outstanding voting equity securities, calculated on the basis of voting power;
- A promoter connected with the Company in any capacity;
- An investment manager of a Company that is a pooled investment fund;
- A person that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with the investment offering;
- A general partner or managing member of an investment manager described in (d) or solicitor described in (e);
- A director, executive officer or other officer participating in the investment offering of an investment manager described in (d) or solicitor described in (e) or a general partner or managing member of such investment manager or solicitor.
Please answer each of the following questions:
-
In the 10 years preceding the date of the Investment offering (the "Offering Date"), have you been
convicted of any crime:
- In connection with the purchase or sale of any security;
- In connection with the making of a false filing with the Securities and Exchange Commission ("SEC"); or
- Arising out of the conduct of the business of an underwriter, broker, dealer, municipal securities dealer, investment adviser or paid solicitor of purchasers of securities?
-
In the 5 years preceding the Offering Date, have you been subject to
any court injunction or restraining order:
- In connection with the purchase or sale of a security;
- In connection with making of a false filing with the SEC; or
- Arising out of the conduct of the business of an underwriter, broker, dealer, municipal securities dealer, investment adviser or paid solicitor of purchasers of securities?
-
Have you ever been
subject to any final order
from the U.S. Commodity Futures Trading Commission, federal banking agencies, the National Credit Union Administration, or state regulators of securities, insurance, banking, savings associations or credit unions that:
- Bars you from associating with an entity regulated by any such commission or agency, engaging in the business of securities, insurance or banking, or engaging in savings association or credit union activities; or
- Is based on a violation of any law or regulation that prohibits fraudulent, manipulative, or deceptive conduct?
-
Have you ever been subject to any order of the SEC that:
- Suspends or revokes your registration as a broker, dealer, municipal securities dealer or investment adviser;
- Places limitations on your activities, functions or operations, or imposes civil monetary penalties; or
- Bars you from being associated with any entity or from participating in the offering of any penny stock?
-
In the 5 years preceding the Offering Date, have you been
subject to any order of the SEC ordering you to cease and desist
from committing or causing a violation or future violation of:
- Any scienter-based (intent-based) anti-fraud provision of the federal securities laws; or
- Section 5 of the Securities Act of 1933, as amended (the "Securities Act"), covering prohibitions relating to interstate commerce and the mails?
-
Have you ever been
suspended or expelled from membership in, or suspended or barred from association with
a member of, any securities self-regulatory organization (i.e., a registered national securities exchange or a registered national or affiliated securities association) for any act or omission to act constituting conduct inconsistent with just and equitable principles of trade?
-
In the 5 years preceding the Offering Date, have you filed (as a registrant or issuer), or been named as an underwriter in, any registration statement or Regulation A offering statement filed with the SEC
that was the subject of a refusal order, stop order, or order suspending the Regulation A exemption,
or
are you the subject of any ongoing investigation or proceeding
to determine whether a stop order or suspension order should be issued?
-
In the 5 years preceding the Offering Date, have you been
subject to any United States Postal Service ("USPS") false representation order,
or
are you currently subject to any temporary restraining order or preliminary injunction
with respect to conduct alleged by the USPS to constitute a scheme or device for obtaining money or property through the mail by means of false representations?
Our website uses the cookies. By using our website you accept the use of the cookies.
Read more about the cookies, how we use them and how you can control or disable them in our
Privacy Policy
OK