Affiliation with Broker-Dealers. Is the Selling Stockholder an affiliate 1 of a registered broker-dealer?
(a) Please describe the affiliation between the Selling Stockholder and any registered broker-dealers:
(b) If the Registrable Securities were purchased by the Selling Stockholder other than in the ordinary course of business, please describe the circumstances: (c) If the Selling Stockholder, at the time of receipt of the Registrable Securities, has had any agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities, please describe such agreements or understandings: Note that if the Selling Stockholder is an affiliate of a broker-dealer and did not purchase the Registrable Securities in the ordinary course of business or at the time of the purchase had any agreements or understandings, directly or indirectly, to distribute the securities, the Company must identify the Selling Stockholder as an underwriter in the Prospectus. 1 An “affiliate” of a specified person or entity means a person or entity that directly, or indirectly through one or more intermediaries, controls or is controlled by, or is under common control with, the person or entity specified. 5. Making a Market in the Registrable Securities: Does the Selling Stockholder plan to make a market in the Registrable Securities? ☐ Yes ☐ No If “Yes,” does the Selling Stockholder plan to use the Prospectus as a market making prospectus? ☐ Yes ☐ No
Affiliation with Broker-Dealers. Is the Selling Stockholder an affiliate of a registered broker-dealer? An “affiliate” of a specified person or entity means a person or entity that directly or indirectly through one or more intermediaries, controls or is controlled by, or is under common control with, the person or entity specified. Yes [ ] No [ ] If so, please answer the remaining questions in this section.
A. Please describe the affiliation between the Selling Stockholder and any registered broker-dealers:
B. If the shares of Common Stock were purchased by the Selling Stockholder other than in the ordinary course of business, please describe the circumstances:
C. If the Selling Stockholder, at the time of its purchase of the shares of Common Stock, had any agreements or understandings, directly or indirectly, with any person to distribute the shares of Common Stock, please describe such agreements or understandings:
Affiliation with Broker-Dealers. Is the Selling Securityholder an affiliate2 of a registered broker-dealer? Yes ¨ No ¨ If so, please answer the remaining questions in this section.
(a) Please describe the affiliation between the Selling Securityholder and any registered broker-dealers:
(b) If the Registrable Securities were purchased by the Selling Securityholder other than in the ordinary course of business, please describe the circumstances:
(c) If the Selling Securityholder, at the time of its receipt of Registrable Securities, has had any agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities, please describe such agreements or understandings:
Affiliation with Broker-Dealers. Is the Selling Securityholder an affiliate of a registered broker-dealer? For purposes of this Item 6(b), an “affiliate” of a specified person or entity means a person or entity that directly, or indirectly through one or more intermediaries, controls or is controlled by, or is under common control with, the person or entity specified. o Yes o No If so, please answer the remaining questions in this section:
(i) Please describe the affiliation between the Selling Securityholder and any registered broker-dealers:
(ii) If the Selling Securityholder, at the time of its acquisition of the Registrable Securities, had any agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities, please describe such agreements or understandings:
Affiliation with Broker-Dealers. Is the Selling Stockholder an affiliate 1 of a registered broker-dealer? ☐ Yes ☐ No If “Yes,” please answer the remaining questions in this Item (4).
(a) Please describe the affiliation between the Selling Stockholder and any registered broker-dealers:
(b) If the Registrable Securities were purchased by the Selling Stockholder other than in the ordinary course of business, please describe the circumstances:
(c) If the Selling Stockholder, at the time of receipt of the Registrable Securities, has had any agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities, please describe such agreements or understandings:
1 An “affiliate” of a specified person or entity means a person or entity that directly, or indirectly through one or more intermediaries, controls or is controlled by, or is under common control with, the person or entity specified.
Affiliation with Broker-Dealers. Is the Selling Stockholder an affiliate of a registered broker-dealer? For purposes of this Item 6(b), an "affiliate" of a specified person or entity means a person or entity that directly, or indirectly through one or more intermediaries, controls or is controlled by, or is under common control with, the person or entity specified. Yes No If so, please answer the remaining questions in this section:
(i) Please describe the affiliation between the Selling Stockholder and any registered broker-dealers: ____________________________________________________________ ____________________________________________________________
(ii) If the Selling Stockholder, at the time of its acquisition of the Registrable Securities, had any agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities, please describe such agreements or understandings: ____________________________________________________________ ____________________________________________________________ Note that if the Selling Stockholder is an affiliate of a broker-dealer and at the time of the acquisition of the Registrable Securities had any agreements or understandings, directly or indirectly, to distribute the securities, the Company must identify the Selling Stockholder as an underwriter in the prospectus.
Affiliation with Broker-Dealers. Is the undersigned an affiliate of a registered broker-dealer? An “affiliate” of a specified person or entity means a person or entity that directly, or indirectly through one or more intermediaries, controls or is controlled by, or is under common control with, the person or entity specified.
(a) Please describe the affiliation between the undersigned and any registered broker-dealers:
(b) If the shares of Common Stock were purchased by the undersigned other than in the ordinary course of business, please describe the circumstances:
(c) If the undersigned, at the time of its purchase of the shares of Common Stock, had any agreements or understandings, directly or indirectly, with any person to distribute the shares of Common Stock, please describe such agreements or understandings:
Affiliation with Broker-Dealers. Is the Selling Securityholder an affiliate of a registered broker-dealer? For purposes of this Item 6(b), an “affiliate” of a specified person or entity means a person or entity that directly, or indirectly through one or more intermediaries, controls or is controlled by, or is under common control with, the person or entity specified. Note that if the Selling Securityholder is an affiliate of a broker-dealer and did not purchase its notes in the ordinary course of business or at the time of the purchase had any agreements or understandings, directly or indirectly, to distribute the securities, we must identify the Selling Securityholder as an underwriter in the prospectus.
Affiliation with Broker-Dealers. Is the Selling Securityholder an affiliate of a registered broker-dealer? For purposes of this Item 6, an “affiliate” of a specified person or entity means a person or entity that directly, or indirectly through one or more intermediaries, controls or is controlled by, or is under common control with, the person or entity specified. ☐ Yes ☐ No If so, please answer the following three questions in this section.
Affiliation with Broker-Dealers. Is the Selling Securityholder an affiliate(1) of a registered broker-dealer?
(1) An "affiliate" of a specified person or entity means a person or entity that directly, or indirectly through one or more intermediaries, controls or is controlled by, or is under common control with, the person or entity specified. Yes [_] No [_] If so, please answer the remaining questions in this section.
(a) Please describe the affiliation between the Selling Securityholder and any registered broker-dealers: --------------------------------------------------------------------------- --------------------------------------------------------------------------- ---------------------------------------------------------------------------
(b) If the Registrable Securities were purchased by the Selling Securityholder other than in the ordinary course of business, please describe the circumstances: --------------------------------------------------------------------------- --------------------------------------------------------------------------- ---------------------------------------------------------------------------
(c) If the Selling Securityholder, at the time of its purchase of Registrable Securities, has had any agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities, please describe such agreements or understandings: --------------------------------------------------------------------------- --------------------------------------------------------------------------- --------------------------------------------------------------------------- Note that if the Selling Securityholder is an affiliate of a broker-dealer and did not purchase its Registrable Securities in the ordinary course of business or at the time of the purchase had any agreements or understandings, directly or indirectly, to distribute the Registrable Securities, we must identify the Selling Securityholder as an underwriter in the prospectus.
