Affiliation with Broker-Dealers. Is the Selling Securityholder an affiliate(1) of a registered broker-dealer?
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:
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. Please describe the affiliation between the Selling Securityholder and any registered broker-dealers: If the Registrable Securities (or securities convertible or exchangeable for Registrable Securities) were purchased by the Selling Securityholder other than in the ordinary course of business, please describe the circumstances: If the Selling Securityholder, at the time of its purchase of Registrable Securities (or securities convertible or exchangeable for Registrable Securities), has had any agreements or understandings, directly or indirectly, with any person to distribute Registrable Securities (or securities convertible or exchangeable for 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 (or securities convertible or exchangeable for 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, we must identify the Selling Securityholder as an underwriter in the prospectus.
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).
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.
Affiliation with Broker-Dealers. Is the Selling Stockholder an affiliate 1 of a registered broker-dealer? \\PH - 036137/000007 - 388262 v8
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:
Affiliation with Broker-Dealers. 7. Are you a member of the NASD, an affiliate of a member, a person associated with a member, an associated person of a member or do you have any association or other affiliation through share ownership or otherwise with a member of the NASD? If so, please describe: * * * The statements supplied by the undersigned in this questionnaire are true, complete and correct to the best knowledge of the undersigned after reasonable inquiry as of the date hereof. The undersigned hereby confirms that he or it has not entered into any arrangement with an agent or broker-dealer for the sale of the securities held by the undersigned. The undersigned agrees promptly to notify Gary Schonwald of Reitler Bxxxx & Xxxxxxxatt XXX, xuxxxxx coxxxxx xx xhe Company (212/209-3050), or J. Todd Derbin at the Company (000/000-0055), if any event of which the undersigned becomes aware should occur between now and the termination of the distribution of securities pursuant to the resales contemplated by the Registration Statement that would cause the answer to any question to change or cause the Registration Statement or any amendment to contain a misrepresentation or omission of a material fact relating to the undersigned. By: ----------------------------------- Name: --------------------------------- Title: -------------------------------- APPENDIX A
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. ¨ Yes ¨ No If so, please answer the following three questions in this section. Please describe the affiliation between the Selling Securityholder and any registered broker-dealers: If the Notes were purchased by the Selling Securityholder other than in the ordinary course of business, please describe the circumstances: 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 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 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. ¨ Yes ¨ No If so, please answer the remaining questions in this item.
