T by Attorney's check, company check, certified check, bank check or money order. Personal checks not accepted. Send remittance to: Investment Protection Bureau NYS Department of Law 120 Broadway, 23rd Floor New York, New York 10271 7. Any secondary offering of securities by selling holders of the issuer, please check box Indicate the details of the secondary offering below for each seller. Name of Seller G. Address Anticipated Dollar Amount Offered.
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How to fill out the NY Form M-11 online
Filling out the NY Form M-11 online is a crucial step for issuers looking to offer securities. This guide provides clear instructions to help users navigate through the components of the form with ease and confidence.
Follow the steps to complete the NY Form M-11 effectively.
- Click the ‘Get Form’ button to obtain the form and open it in your preferred online editor.
- Begin by entering the file number, which can be found on the fee receipt from your original filing.
- Provide the issuer's name and principal office address, including city, state, and zip code.
- Enter the issuer’s telephone number.
- Indicate whether the issuer is an existing or proposed entity by selecting the appropriate box.
- Specify the type of organization by checking one of the options: corporation, general partnership, limited partnership, or another.
- Briefly describe the business of the issuer in the provided space.
- Select the type of securities being offered by checking one of the available options: stock, bonds, notes, partnership interests, or other.
- Indicate how the securities will be sold, specifying whether it will be by partner(s), officer(s), director(s), or salespeople employed by the issuer.
- Determine if the securities will be sold on a best efforts basis by checking 'yes' or 'no' and providing an explanation if 'no'.
- Fill in the total amount of the offering and anticipated offering expenses, breaking down the expenses as needed.
- Describe the intended use of the net proceeds.
- Select where the fee receipt should be sent, indicating either Attorney or Issuer.
- If applicable, provide details of any secondary offering, including the name of the seller and the anticipated dollar amount offered.
- Answer questions about the registrant's history, ensuring that any 'yes' answers are accompanied by an explanatory statement.
- List all employees selling in New York State, including their name and CRD number.
- If the issuer is a limited partnership, provide a list of all general partners.
- Complete the required personal information for each officer, director, principal, or managing member, ensuring to include historical employment affiliations.
- Include original signatures from all listed individuals, along with their printed names, titles, and dates.
- Once completed, save changes to the document, and you can choose to download, print, or share the form as needed.
Take the next step in your filing process by completing the NY Form M-11 online today.
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