California Code of Regulations › Title 10 - Investment › Chapter 3 - Commissioner of Financial Protection and Innovation › Subchapter 2.3 - Capital Access Companies › Article 4 - Application for Approval to Acquire Control, Merge with, or Purchase or Sell All or Substantially All of the Licensee's Business › Section 280.250 - Application for Approval to Acquire Control, Merge with, or Purchase or Sell All or Substantially All of the Business of Another Person, or to Sell All or Substantially All of the Licensee's Business or the Business of the Licensee's Officers to Another License

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
(Department of Business Oversight Use
							 Only)
DEPARTMENT OF
BUSINESS OVERSIGHT
___________________________Fee Paid $
File No.___________________________
___________________________Receipt No.
[ ] Acquisition of Control, Section
					 28500
[ ] Merger, Section
					 28601
[ ] Purchase of Business, Section
					 28601
[ ] Sale of Business, Section
					 28601 STATE OF CALIFORNIA
					 DEPARTMENT OF BUSINESS OVERSIGHT FACING PAGE FOR APPLICATION FOR APPROVAL TO
					 ACQUIRE CONTROL, MERGE WITH, OR PURCHASE OR SELL ALL OR SUBSTANTIALLY ALL OF
					 THE BUSINESS OF ANOTHER PERSON, OR TO SELL ALL OR SUBSTANTIALLY ALL OF THE
					 LICENSEE'S BUSINESS OR OF THE BUSINESS OF ANY OF THE LICENSEE'S OFFICES TO
					 ANOTHER LICENSEE.
PRE-AUTHORIZATION AMENDMENT NO. __________
The Application For Approval To Acquire Control, Merge
					 With, Or Purchase Or Sell All Or Substantially All Of The Business Of Another
					 Person, Or To Sell All Or Substantially All Of The Licensee's Business Or Of
					 The Business Of Any Of The Licensee's Offices To Another Licensee
MUST be
					 TYPEWRITTEN and accompanied
by the application fee of $900. The
					 application (together with the fee payable to the Commissioner of Business
					 Oversight) must be filed only in the Sacramento Office of the Department of
					 Business Oversight.
Special Instructions:
An Application for
					 Authorization for a Change of Control under the Capital Access Company Law
					 shall include (1) this completed Facing Page, (2) the completed and revised
					 applicable pages of the Application for a License Under the Capital Access
					 Company Law (but not the Facing Page for that application) with information
					 contained therein necessary to enable the Commissioner of Business Oversight to
					 make findings required by Corporations Code Sections
					 28551
					 and
					 28604
					 and attached to this completed Facing Page, and (3) the duly executed and
					 verified Execution Page for this application. (A blank Execution Page may be
					 found at the end of the Application for a License.)
In pursuance of, and in compliance with, the provisions of
					 the Capital Access Company Law, the licensee,
					 ________________________________________, with its principal office located
					 at:
___________________________
(Number and
							 Street)
(City)
(State)
(Zip Code)
hereby applies to the Commissioner of Business Oversight
					 for authorization for a change of control.
___________________________
1.
a. Date
				  of Organization: ___________________________
b. State of Organization: