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State of Wisconsin

Department of Financial Institutions

Professional Registration

DFI 551.202(27) Issuer Exemption Notice Filing

Page 1 Issuer
Name of Issuer:
Hayes Brokerage Opportunity Fund #1, LLC
Street Address of Issuer:
Address Line 1:
1674 Eisenhower Road
Address Line 2:
City:
De Pere
State:
WI
Zip:
54115
Website Address of Issuer:
Page 2 Contact Information
Contact Person:
First Name:
Matthew
Middle Name:
D.
Last Name:
Rowe
Organization:
Ruder Ware, L.L.S.C.
Title:
Attorney
CRD #:
Address:
Address Line 1:
500 N. First Street
Address Line 2:
Suite 8000
City:
Wausau
State:
Wisconsin
Zip:
54402
Phone Number:
7158454336
Email Address:
mrowe@ruderware.com
Page 3 Persons Involved in Offering
First Name:
Caleb
Middle Name:
Last Name:
Hayes
Organization:
Caleb Hayes Enterprises, LLC
Title:
Manager
CRD #:
Address:
Address Line 1:
1674 Eisenhower Road
Address Line 2:
City:
De Pere
State:
Wisconsin
Zip:
54115
Phone Number:
9203091037
Email Address:
caleb@calebhayes.com
Page 4 Financial Institution
Name of Institution into which investor funds are to be deposited:
Wells Fargo Bank, N.A.
Street Address of Institution:
Address Line 1:
1900 S. Webster Avenue
Address Line 2:
City:
Green Bay
State:
Wisconsin
Zip:
54301
Page 5 Documents
Document to be uploaded:
Financial Audit (PDF format):
Page 6 Notice Claim
On behalf of the Issuer, you represent that the following checked statements are true:
The issuer of the security is a business with a principal place of business in this state and that is doing business in this state. [see Wis. Stats. Sec. 551.202(27)(a)]
Yes
The transaction meets the requirements of the federal exemption for intrastate offerings in section 3(a)(11) of the Securities Act of 1933 (15 USC 77c(a)(11)) and Rule 147A adopted under the Securities Act of 1933 (17 CRF 230.147A). [see Wis. Stats. Sec. 551.202(27)(b)]
Yes
The sum of all cash and other consideration to be received for all sales of the security, excluding sales to any accredited investor, certified investor, or institutional investor, does not exceed the amounts specified in Wis. Stats. Sec. 551.202(27)(c).
Yes
The issuer will not accept more than $10,000 from any single purchaser unless the purchaser is an accredited investor or certified investor. [see Wis. Stats. Sec. 551.202(27)(d)]
Yes
The issuer is conducting an offering in reliance on the exemption under Wis. Stats. Sec. 551.202(27), and before the 101st offer of the security, submits this notice of claim of exemption from registration, accompanied by the filing fee of $50.
Yes
The issuer is not, either before or as a result of the offering, an investment company, as described in Wis. Stats. Sec. 551.202(27)(i).
Yes
No offer or sale of a different class or series of security has been made by the issuer in reliance on the exemption under Wis. Stats. Sec. 551.202(26) or (27) during the immediately preceding 12-month period. [see Wis. Stats. Sec. 551.202(27)(k)]
Yes
Submitted By:
Matthew D. Rowe