Operation Spamalot

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form 15c2-11 details:


*************General Instructions************************


Complete this form to initiate or resume quotations in the OTC Bulletin Board, the Pink Sheets, or any other
comparable quotation medium. By completing this form, your firm is representing that it has satisfied all applicable
requirements of Securities and Exchange Commission (SEC) Rule 15c2-11 and the filing and information
requirements of NASD Rule 6740. It is not necessary to file this application if a member qualifies for an
exception or exemption provided by paragraphs (f)(1)-(5) or (h) of Rule 15c2-11.
Send the completed form, a photocopy of the completed form, and two copies of the required Issuer information
to NASD, OTC Compliance Unit, 9509 Key West Avenue, Rockville, MD 20850-3329. If you have any questions,
call the OTC Compliance Unit at [phone].
Check the applicable quotation medium(s):
OTC Bulletin Board Pink Sheets Other (name of quotation medium)
Part 1 – Issuer and Security Information
Provide the information requested below:
1 Exact name of Issuer and predecessor (if any)
2 Address of principal executive offices
3 Telephone number of principal executive offices
4 Type of security (check one) Domestic Security ADR Foreign Security DPP
5 State of incorporation Country of incorporation
6 Complete title and class of security to be quoted
7 Symbol of security (if assigned) CUSIP (if assigned)
8 Par or stated value of security
9 Total securities outstanding at the end of the Issuer’s most recent fiscal year
10 Name and address of transfer agent
11 List any restrictions on the transfer of the security
12 Price of initial quotation entry Bid Ask No price at this time
If you are requesting to enter a bid and/or ask price, you must also provide a clear statement of the
following information:
The basis upon which the priced entry was determined:
The factors considered in making that determination:
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Part 2 – Required Issuer Information
Check the applicable box (select only one) that corresponds to the category of Issuer information accompanying
this application. To determine the applicable category, carefully review paragraphs (a)(1)-(5) of Rule 15c2-11
under the Securities Exchange Act of 1934 (1934 Act) and paragraph (g), which defines “reasonably
current” information for purposes of paragraph (a)(5).
Provide two copies of all required information (except for EDGAR documents) along with this completed form.
RECENT OFFERINGS
(a)(1) Provide the prospectus which became effective less than 90 calendar days prior to filing this Form 211,
as specified by Section 10(a) of the Securities Act of 1933 (1933 Act).
SEC Effective Date: Date Security(ies) Issued:
(a)(2) Provide the offering circular which became effective less than 40 calendar days prior to filing this Form
211, as provided for under Regulation A under the 1933 Act.
SEC Effective Date: Date Security(ies) Issued:
(a)(3) REPORTING COMPANIES List:
The Issuer’s most recent annual report filed pursuant to Section 13 or 15(d) of the 1934 Act or the annual
statement referred to in Section 12(g)(2)(G)(i) of the 1934 Act. Quarterly and other current reports filed
after the Issuer’s most recent annual report or statement. List below each report or statement and applicable
amendments filed by the Issuer through EDGAR that your firm has in its possession that meets the
requirements of this section.
Name of Report or Statement Report or Statement Date EDGAR Filed Date
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(a)(4) FOREIGN PRIVATE ISSUERS
Provide information furnished to the Securities and Exchange Commission pursuant to Rule 12g3-2(b) of the
1934 Act since the beginning of the Issuer’s last fiscal year. List below the information supplied with this form.
Name of Report or Statement Report or Statement Date SEC Filed Date
(a)(5) NON-REPORTING AND ALL OTHER COMPANIES
The applicant must make the Issuer information filed in conjunction with section (a)(5) of this form available
upon request to any person expressing an interest in a proposed transaction with the subject security filed.
Provide the Issuer’s most recent balance sheet, profit and loss and retained earnings statements, equivalent
financial information for the two prior fiscal years for the Issuer or any predecessor company, and the documents
that support the information provided in this form.
a. Describe the Issuer’s business.
b. Describe the products or services offered by the Issuer.
c. Describe the Issuer’s facilities.
d. List the name(s) of the current Chief Executive Officer(s) and members of the
Board of Directors of the Issuer.
e. Is the member firm submitting this form, or any person associated with it, affiliated directly or indirectly with the
Issuer? Yes No If yes, what is the affiliation?
f. Is the quotation being published or submitted on behalf of any other broker-dealer? Yes No If yes,
what is the name of the broker or dealer?
g. Is the quotation being published or submitted directly or indirectly on behalf of the Issuer or any director, officer
or any person who is directly or indirectly the beneficial owner of more than 10% of the outstanding units or
shares of any equity security of the Issuer? Yes No If yes, what is the name of the person, and
what is the basis for any exemption under the federal securities laws for any sales of such securities
on behalf of this person?
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Part 3 – Supplemental Information
Please review paragraphs (b)(1)-(3) of Rule 15c2-11 and provide the information requested below.
(b)(1) Describe the circumstances surrounding the submission of this application. Include the identity of any
person(s) for whom the quotation is being submitted and any information provided to your firm by such
person(s).
(b)(2) Has the Issuer or its predecessor (if any) been subject to a trading suspension order issued by the SEC
during the past 12 months? If a trading suspension order has been issued, provide two copies of the
order or of the SEC’s public release announcing the trading suspension order.
Check the appropriate box: Trading suspension order or release enclosed. Not applicable.
(b)(3) Provide any material information, including adverse information, regarding the Issuer, that your firm
is aware of or has in its possession (Do not list information already provided in Part 2). If your firm
does not possess such information, state “None” below.
Identify any applicable information by name and date.
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Part 4 – (Complete for OTC Bulletin Board quotation requests only)
Fiscal Year End Date (MM/DD)
Date of Incorporation (MM/DD/YYYY)
Standard Industrial Classification (SIC) Code
(a) Complete if the Issuer files periodic reports through the SEC’s EDGAR system.
• Provide the 10-digit Central Index Key (CIK) number.
(The CIK is a unique identifier assigned by the SEC to all companies and people who file disclosure
documents through EDGAR with the SEC)
(b) Complete if the Issuer does not file periodic reports through the SEC’s EDGAR system.
• Name of regulatory authority where the Issuer
files periodic financial reports.
• Telephone number of the regulatory authority.
• The Issuer’s filing cycle. (Check one)
Quarterly
Semi-annually Annually
Other (Describe the filing cycle)
• List the required reports filed by the Issuer for the current fiscal year.
Name of Report Due Date of Report Date of Report
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Part 5 – Certification
The undersigned must have a reasonable basis for believing that the information accompanying this form
is accurate in all material respects and that the sources of the information are reliable.
By signing this document, I acknowledge and certify that my member firm has a reasonable basis for believing that
the information accompanying this form (including required EDGAR filed documents not provided) is accurate in all
material respects and that the sources of the information are reliable (“affirmative review obligation”) as required by
Rule 15c2-11 under the 1934 Act and NASD Rule 6740. I understand and acknowledge that this affirmative review
obligation applies to all subsequent submissions made in connection with this Form 211 application. Further, I certify
that I have examined this form and, to the best of my knowledge and belief, it is true, correct, and complete. I
understand and acknowledge that copies of this form, accompanying documents, and subsequent submissions made
in connection with this Form 211 application may be provided to the Securities and Exchange Commission, or other
regulatory agencies, Pink Sheets LLC, and to the public upon request through the Pink Sheets LLC.
Name, title and signature of member firm employee to contact regarding information contained in this Form 211
application.
Name Title
Signature Date
Phone Fax
Name, title, and signature of the registered principal of the member firm responsible for this Form 211 application,
and all subsequent submissions made in connection with this application.
Name Title
Signature Date
Firm Name
(Member firm must be a Pink Sheets LLC subscriber if application is for the Pink Sheets.)
Address
City State Zip
Member firm CRD# Market Participant Identifier
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