Investors

RockWater Investment Corporation is a privately held corporation and is not publicly traded. 

RockWater Investment Corporation does not offer stock to the general public. RockWater Investment Corporation is subject to exempt securities transactions under SEC Section 4(a)(2) exemption 506(b) of Regulation D and holds no more than 35 non-accredited stockholders (SEC. 2022).

No general solicitation or advertising to market RockWater Investment Corporation stock to the public is allowed by Federal Government regulation (SEC. 2022).

Non-accredited investors must meet the legal standard of having sufficient knowledge and experience in financial and business matters to be capable of evaluating the merits and risks of [a] prospective investment. Non-accredited investors must be provided with Regulation A [similar] disclosure documents and financial statement information for RockWater Investment Corporation. Federal regulation limits Rockwater Investment Corporation's non-accredited investors to 35 (SEC. 2022). 

RockWater Investment Corporation is required to file a notice with the SEC on Form D within 15 days of the first sale of RockWater stock in a private offering. (SEC. 2022). 

RockWater Investment Corporation is incorporated in the great State of Arizona. RockWater Investment Corporation is subject to filing requirements for RockWater Investment Corporation securities under Arizona Securities and Licensing Statutes 44-3321 through 44-3325 for Investment Companies, A.A.C R14-4-118 Statements Required in Prospectus, A.A.C. R14-4-141 Solicitation of Interest Prior to the Filing of the Registration Statement, A.A.C. R14-4-126, and A.A.C. R14-4-141 (A.A.C. 2022). 

References

A.A.C. (2022).Security Division. Arizona Administrative Code.

 https://www.azcc.gov/securities/licensing-and-registration/registration-exemptions

Arizona State Legislature. (2022). Arizona Revised Statutes. https://www.azleg.gov/arstitle/ 

SEC. (2022). Private Placements Rule 506(b). U.S. Securities and Exchange Commission. https://www.sec.gov/education/smallbusiness/exemptofferings/rule506b