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STATE OF CALIFORNIA DEPARTMENT OF FINANCIAL PROTECTION AND INNOVATION
APPLICATION FOR CONSENT TO TRANSFER SECURITIES PURSUANT TO
SECTION 25151 OF THE CORPORATE SECURITIES LAW OF 1968
DFPI–260.151(a) (Register 2009, No. 39) (Rev. 11-20)
(Department of
Financial Protection
and
Innovation Use Only)
Fee Paid $______________________
Receipt
No. _____________________
Department of Financial Protection and
Innovation File No.___________________________
(Insert file no. of previous filings
before the Dept. if any)
FEE: $
(To be completed by applicant. The
required fee is $20 per transfer (Sec.
25608(m), Corp. Code).)
Date of Application: _________________
This represents (check appropriate box):
The initial filings. An amendment to application dated ________________________
THE SECURITIES PROPOSED TO BE TRANSFERRED ARE SUBJECT TO (CHECK
APPROPRIATE BOX)
LEGEND CONDITION. ESCROW CONDITION.
1. (a) Name of Issuer: ________________________________________________
(b) Former Name, If Any:____________________________________________
2. Description of securities proposed to be transferred: (State title of each class of securities
(e.g., Class A Common Stock). If rights, warrants and options are listed, also specify the
securities to be transferred upon exercise thereof. If securities are to be pledged, so state.)
3. Name and address of each transferor (if space is insufficient, incorporate and attach additional
sheets):
Aggregate number or amount of
securities proposed to be transferred
Name Address by each transferor:
Total: ____________________________________
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STATE OF CALIFORNIA DEPARTMENT OF FINANCIAL PROTECTION AND INNOVATION
APPLICATION FOR CONSENT TO TRANSFER SECURITIES PURSUANT TO
SECTION 25151 OF THE CORPORATE SECURITIES LAW OF 1968
DFPI260.151(a) (Register 2009, No. 39) (Rev. 11-20) Page 2 of 3
4.
5.
6.
7.
8.
Name and address of each proposed transferee (if space is insufficient, incorporate and attach
additional sheets):
Aggregate number or amount of
securities proposed to be transferred
Name Address by each transferor:
Total: ____________________________________
Address of principal executive office of Issuer:
(Number and Street) (City) (State) (Zip Code)
Name and address of person to whom correspondence regarding this application should be
directed:
(Name) (Number and Street) (City) (State) (Zip Code)
There are attached hereto as exhibits statements by each of the proposed transferees in the
form required by Section 260.151 of Title 10 of the California Code of Regulations. (Note:
Upon request, such statements will be treated as confidential by the Commissioner, subject to
the provisions of Section 250.10, Title 10, California Code of Regulations.)
(Check appropriate box)
(a) There are no restrictions upon the transfer of the securities proposed to be transferred
other than the legend or escrow condition imposed by the Commissioner of Financial
Protection and Innovation.
(b) There are no restrictions upon the transfer of the securities proposed to be transferred
other than the legend or escrow condition imposed by the Commissioner of Financial
Protection and Innovation which are described in an exhibit attached hereto and
incorporated herein by reference. Such restrictions have been complied with as to
make the transfer to the proposed transferees valid and are known to the proposed
transferees.
_______________________________________________________________________________
_________________________________________ ______________________________________
_________________________________________ ______________________________________
_________________________________________ ______________________________________
STATE OF CALIFORNIA DEPARTMENT OF FINANCIAL PROTECTION AND INNOVATION
APPLICATION FOR CONSENT TO TRANSFER SECURITIES PURSUANT TO
SECTION 25151 OF THE CORPORATE SECURITIES LAW OF 1968
D
FPI260.151(a) (Register 2009, No. 39) (Rev. 11-20)
Page 3 of 3
9. No portion of the consideration to be given by the transferees of the securities will be for the
direct or indirect benefit of the Issuer identified in Item 1. (If the Issuer is to benefit from
proposed transfer, see Section 25011 of the Corporate Securities Law of 1968 and Section
260.011 of Title 10, of the California Code of Regulations. Qualification of the transaction may
be required.
10. Execution Instructions:
If a transferor is other than an individual, the name of the entity should be typed or printed
above the signature line exactly as shown in Item 3. The signature should show the name and
title of the person authorized to sign for such transferor.
I/We certify (or declare) under penalty of perjury under the laws of the State of California and
I/We have read this application and know the contents thereof, and that the statements therein
are true and correct.
Executed at ________________________________________________, _____________, 20______
(Place) (Date)
(If the transferor is other than an individual, give the name of the entity and the name and title
of the person executing the application on behalf of such entity.)
(Signature of Transferor) (Signature of Transferor)
(Signature of Transferor) (Signature of Transferor)
(Signature of Transferor) (Signature of Transferor)