LD 509
pg. 78
Page 77 of 183 An Act To Adopt the Maine Uniform Securities Act Page 79 of 183
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LR 441
Item 1

 
than the underwriters, with a specification of the person or
class; the basis on which the offering is to be made if
otherwise than for cash; the estimated aggregate underwriting
and selling discounts or commissions and finder's fees,
including separately cash, securities, contracts or anything
else of value to accrue to the underwriters or finders in
connection with the offering or, if the selling discounts or
commissions are variable, the basis of determining them and
their maximum and minimum amounts; the estimated amounts of
other selling expenses, including legal, engineering and
accounting charges; the name and address of each underwriter
and each recipient of a finder's fee; a copy of any
underwriting or selling group agreement under which the
distribution is to be made or the proposed form of any such
agreement whose terms have not yet been determined; and a
description of the plan of distribution of any securities that
are to be offered otherwise than through an underwriter;

 
I.__The estimated monetary proceeds to be received by the
issuer from the offering; the purposes for which the
proceeds are to be used by the issuer; the estimated amount
to be used for each purpose; the order or priority in which
the proceeds will be used for the purposes stated; the
amounts of any funds to be raised from other sources to
achieve the purposes stated; the sources of the funds; and,
if a part of the proceeds is to be used to acquire property,
including goodwill, otherwise than in the ordinary course of
business, the names and addresses of the vendors, the
purchase price, the names of any persons that have received
commissions in connection with the acquisition and the
amounts of the commissions and other expenses in connection
with the acquisition, including the cost of borrowing money
to finance the acquisition;

 
J.__A description of any stock options or other security
options outstanding, or to be created in connection with the
offering, and the amount of those options held or to be held
by each person required to be named in paragraph B, D, E, F
or H and by any person that holds or will hold 10% or more
in the aggregate of those options;

 
K.__The dates of, parties to and general effect concisely
stated of each managerial or other material contract made or
to be made otherwise than in the ordinary course of business
to be performed in whole or in part at or after the filing
of the registration statement or that was made within the
previous 2 years and a copy of the contract;


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