2014 Commissioner's Report - On the Offer or Sale of Securities by Permit under Corporations Code Section 25113

DBO

Description

Total Dollar Amount Sought to be Raised Below is a summary of the minimum, maximum, and total dollar amount issuers requested to raise applications filed in 2013, by category: Agriculture* Minimum Dollar Amount Raised (in dollars) 400,000.00 Maximum Dollar Amount Raised (in dollars) 400,000.00 Total Dollar Amount Raising (in dollars) 400,000.00 Church Debt 100,000.00 18,000,000.00 68,685,000.00 Church Extension 500,000.00 750,000,000.00 3,183,000,000.00 Cooperative 800,000.00 4,537,295.00 4,550,000.00 Employee Compensation 3,000,000.00 13,359,918.00 19,359,918.00 Manufacturing* 2,800,000.00 2,800,000.00 2,800,000.00 Membership 2,000,000.00 318,200,000.00 992,375,000.00 Microlender 200,000.00 200,000,000.00 554,300,000.00 Mineral* 672,621.99 672,621.99 672,621.99 Mobile home park 35,580.00 21,000,000.00 24,495,580.00 Mortgage 17,000,000.00 105,000,000.00 442,000,000.00 Mutual Water Company 23.00 225,000.00 349,247.00 Real Estate 4,500,000.00 100,000,000.00 344,500,000.00 Real Estate Investment Trust* 25,000,000.00 25,000,000.00 25,000,000.00 Technology 1,000,000.00 84,167,000.00 91,167,000.00 Category of Investment Other 300,000.00 100,000,000.00 161,729,515.00 *There was only one permit issued under this category ** The category “membership” includes home improvement stores, as well as social and sports club memberships. ***The category “other” includes charity, derivative contracts, mortuary, music production, pharmaceutical, project management, investment, and wholesaler. Enforcement Actions There were no new enforcement actions taken against any of the issuers who received a permit in 2013 under section 25113. Department of Business Oversight | Corporate Securities Law of 1968 Page 7 .