New York Codes, Rules and Regulations
Title 13 - DEPARTMENT OF LAW
Chapter III - THEATRICAL SYNDICATION FINANCING
Part 50 - THEATRICAL FINANCING
Section 50.7 - Exhibits and documents to be submitted to the Department of Law
Current through Register Vol. 46, No. 39, September 25, 2024
Upon submission to the Department of Law pursuant to section 50.1(n) of this Part, the issuer or other offeror should submit all relevant documents relating to the offering, including the following, where applicable:
(a) partnership agreements, certificates of limited partnership and all amendments thereto, certificates of incorporation and bylaws or any other pertinent documents relating to the form of business organization;
(b) a specimen of the investment unit being offered, unless such investment unit is a copy of the business agreement under which the venture is to operate;
(c) agreements with all purchasers of advance interests, commonly known as front money;
(d) all documents relating to the underwriting, distribution or sale of syndication interests;
(e) agreements entered into by the theatrical production company or which it is intended will be assigned to or acquired by the theatrical production company, including but not limited to investment agreements; contracts with co-producers, developers, regional theatres; production contracts with authors and extensions or modifications thereof; contracts with actors having starring roles, directors, choreographers, press agents, company managers, advertising agencies, costume and scenic designers, suppliers, theatres, etc.;
(f) agreements relating to the disposition of any subsidiary rights;
(g) not later than 30 days after the total capitalization has been raised, a list of all shareholders, general partners, limited partners and joint venturers. Such list shall include the name and address, the amount invested and the date the investment was made for each person so listed. If the theatrical production company is a limited partnership, a copy of the certificate of limited partnership may be submitted in lieu of this list; and
(h) in connection with an offer pursuant to section 50.4 of this Part a notification to the Department of Law setting forth the nature of each production produced, developed or invested in by the theatrical production company where such production was not specifically named in the original filing with the Department of Law. Such notification shall be submitted not later than 50 days after the initial expenditure of funds for the named production.
