9898 TTY/TDD (for hearing impaired) NY FORM M-11 File Number (Found on fee receipt for original filing) www.ag.ny.gov ISSUER STATEMENT (Section 359-e General Business Law) Issuer Name Principal Office Address.
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How to fill out the NY Form M-11 online
Filling out the NY Form M-11 online can seem daunting, but with clear guidance, you can navigate the process smoothly. This guide will provide you with step-by-step instructions to ensure your form is completed accurately and efficiently.
Follow the steps to fill out the NY Form M-11 online
- Locate and use the ‘Get Form’ button to access the NY Form M-11. This will allow you to obtain the form in an online format for filling.
- Begin by entering the file number, which can be found on the fee receipt from your original filing.
- In the issuer name section, fill in the full name of the issuer as required.
- Provide the complete principal office address, including city, state, and zip code for the issuer.
- Insert the telephone number of the issuer in the specified field.
- Indicate whether the issuer is existing or proposed by selecting the appropriate checkbox.
- Select the type of business entity (e.g., corporation, general partnership, limited partnership) by marking the corresponding checkbox.
- Briefly describe the business of the issuer as requested.
- Indicate the type of securities the issuer proposes to offer by selecting from the options available.
- Specify who will be selling the securities, selecting either partner(s), officer(s), director(s), or salespeople employed by the issuer.
- Answer whether the securities will be sold on a best efforts basis by checking 'Yes' or 'No,' and provide an explanation if applicable.
- Complete the total amount of the offering and anticipated offering expenses, providing necessary details.
- State the intended use of the net proceeds from the offering.
- Indicate where the fee receipt should be sent, whether to the attorney or issuer, along with their contact details.
- Complete the section regarding any secondary offerings by checking the box and providing the seller's details as needed.
- Respond to the series of questions regarding any past suspensions or legal issues, detailing any 'Yes' answers with additional statements as required.
- List all employees involved in selling in New York State, including relevant details and CRD numbers.
- If applicable, include information about all general partners in the case of a limited partnership.
- Provide the full details of each officer, director, principal, partner, or managing member as outlined, ensuring to include all required information.
- Finalize the form by collecting signatures, ensuring that all necessary individuals sign where indicated.
- Once all fields are completed, save your changes, then download, print, or share the filled form as needed.
Complete your NY Form M-11 online today to ensure a smooth submission process.
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