Common use of Broker-Dealer Status Clause in Contracts

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ☐ No ☐ (b) If “yes” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes ☐ No ☐ Note: If “no” to Section 3(b), then in accordance with guidance provided by the Commission’s staff, the Company will identify you as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes ☐ No ☐ (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ☐ No ☐ Note: If “no” to Section 3(d), then in accordance with guidance provided by the Commission’s staff, the Company will identify you as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ☐ No ☐ (b) If “yes” to Section 3(a4(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes ☐ No ☐ Note: If “no” to Section 3(b), then in accordance with guidance provided by the Commission’s staff, the Company will identify staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes ☐ No ☐☐ Note: If yes, provide a narrative explanation below: ____________________________ ____________________________ (d) If you are an affiliate of a broker-dealer, do you certify that you purchased bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ☐ No ☐ Note: If “no” to Section 3(d), then in accordance with guidance provided by the Commission’s staff, the Company will identify staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ☐ ¨ No ☐¨ (b) If “yes” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes ☐ ¨ No ☐ ¨ Note: If “no” to Section 3(b), then in accordance with guidance provided by the Commission’s staff, the Company will identify you as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes ☐ ¨ No ☐¨ (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ☐ ¨ No ☐ ¨ Note: If “no” to Section 3(d), then in accordance with guidance provided by the Commission’s staff, the Company will identify you as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ☐ □ No ☐□ (b) If “yes” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes ☐ □ No ☐ □ Note: If “no” to Section 3(b), then in accordance with guidance provided by the Commission’s staff, the Company will identify staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes ☐ □ No ☐□ (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ☐ □ No ☐ □ Note: If “no” to Section 3(d), then in accordance with guidance provided by the Commission’s staff, the Company will identify staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ☐ No ☐ (b) If “yes” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes ☐ No ☐ Note: :If “no” to Section 3(b), then in accordance with guidance provided by the Commission’s staff, the Company will identify staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes ☐ No ☐ (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ☐ No ☐ Note: If “no” to Section 3(d), then in accordance with guidance provided by the Commission’s staff, the Company will identify staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ☐ o No ☐o (b) If “yes” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes ☐ o No ☐ o Note: If “no” to Section 3(b), then in accordance with guidance provided by the CommissionSEC’s staff, the Company will identify staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes ☐ o No ☐o Note: If “yes” to Section 3(c), provide a narrative explanation below: (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ☐ o No ☐ o Note: If “no” to Section 3(d), then in accordance with guidance provided by the CommissionSEC’s staff, the Company will identify staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ☐ |_| No ☐|_| (b) If “"yes” " to Section 3(a4(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? . Yes ☐ |_| No ☐ |_| Note: If “no” to Section 3(b), then in accordance with guidance provided by the Commission’s staff, the Company will identify 's staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes ☐ |_| No ☐|_| (d) If you are an affiliate of a broker-dealer, do you certify that you purchased bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ☐ |_| No ☐ |_| Note: If “no” to Section 3(d), then in accordance with guidance provided by the Commission’s staff, the Company will identify 's staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ☐ ☐ No ☐ (b) If “yes” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes ☐ ☐ No ☐ ☐ Note: If “no” to Section 3(b), then in accordance with guidance provided by the Commission’s staff, the Company will identify staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes ☐ ☐ No ☐ (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ☐ ☐ No ☐ ☐ Note: If “no” to Section 3(d), then in accordance with guidance provided by the Commission’s staff, the Company will identify staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ☐ o No ☐o (b) If “yes” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes ☐ o No ☐ o Note: If “no” to Section 3(b), then in accordance with guidance provided by the Commission’s staff, the Company will identify staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes ☐ o No ☐o EXHIBIT A TO ARTL SUBSCRIPTION AGREEMENT (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ☐ o No ☐ o Note: If “no” to Section 3(d), then in accordance with guidance provided by the Commission’s staff, the Company will identify staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ☐ ¬ No ☐¬ (b) If “yes” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes ☐ ¬ No ☐ ¬ Note: If “no” to Section 3(b), then in accordance with guidance provided by the Commission’s staff, the Company will identify staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes ☐ ¬ No ☐¬ (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ☐ ¬ No ☐ ¬ Note: If “no” to Section 3(d), then in accordance with guidance provided by the Commission’s staff, the Company will identify staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ☐ No ☐ (b) If “yes” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the CompanyCorporation? Yes ☐ No ☐ Note: If “no” to Section 3(b), then in accordance with guidance provided by the Commission’s staff, the Company will identify staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes ☐ No ☐ (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ☐ No ☐ Note: If “no” to Section 3(d), then in accordance with guidance provided by the Commission’s staff, the Company will identify staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ☐ No ☐Yes[ ] No[ ] (b) If “yes” to Section 3(a4(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes ☐ No ☐ Yes[ ] No[ ] Note: If “no” to Section 3(b), then in accordance with guidance provided by the Commission’s staff, the Company will identify staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes ☐ No ☐Yes[ ] No[ ] Note: If yes, provide a narrative explanation below: (d) If you are an affiliate of a broker-dealer, do you certify that you purchased bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ☐ No ☐ Yes[ ] No[ ] Note: If “no” to Section 3(d), then in accordance with guidance provided by the Commission’s staff, the Company will identify staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ☐ No ☐ (b) If “yes” to Section 3(a4(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes ☐ No ☐ Note: If “no” to Section 3(b4(b), then in accordance with guidance provided by the Commission’s staff, the Company will identify staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes ☐ No ☐☐ Note: If yes, provide a narrative explanation below: (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ☐ No ☐ Note: If “no” to Section 3(d4(d), then in accordance with guidance provided by the Commission’s staff, the Company will identify staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ☐ [ ] No ☐[ ] (b) If “yes” to Section 3(a4(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes ☐ [ ] No ☐ [ ] Note: If “no” to Section 3(b), then in accordance with guidance provided by the Commission’s staff, the Company will identify staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes ☐ [ ] No ☐[ ] Note: If yes, provide a narrative explanation below: (d) If you are an affiliate of a broker-dealer, do you certify that you purchased bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ☐ [ ] No ☐ [ ] Note: If “no” to Section 3(d), then in accordance with guidance provided by the Commission’s staff, the Company will identify staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ☐ ¨ No ☐¨ (b) If “yes” to Section Item 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes ☐ ¨ No ☐ ¨ Note: If “noyes” to Section Item 3(b), then in accordance with guidance provided by the CommissionSEC’s staff, the Company will identify staff has indicated that you should be identified as an underwriter in the Registration StatementStatement and related Prospectus. (c) Are you an affiliate of a broker-dealer? Yes ☐ ¨ No ☐¨ Note: If yes, provide a narrative explanation below: (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ☐ ¨ No ☐ ¨ Note: If “no” to Section Item 3(d), then in accordance with guidance provided by the CommissionSEC’s staff, the Company will identify staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ☐ No ☐No (b) If “yes” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes ☐ No ☐ Note: If “no” to Section 3(b), then in accordance with guidance provided by the Commission’s staff, the Company will identify staff has indicated that you should be identified as an underwriter in the Registration Statement, and you hereby consent to being so identified. (c) Are you an affiliate of a broker-dealer? Yes ☐ No ☐No (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ☐ No ☐ Note: If “no” to Section 3(d), then in accordance with guidance provided by the Commission’s staff, the Company will identify staff has indicated that you should be identified as an underwriter in the Registration Statement, and you hereby consent to being so identified.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ☐ ¨ No ☐¨ (b) If “yes” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes ☐ ¨ No ☐ ¨ Note: If “no” to Section 3(b), then in accordance with guidance provided by the Commission’s staff, the Company will identify staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealerdealer (i.e., registered representative, principals, control person)? Yes ☐ ¨ No ☐¨ (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ☐ ¨ No ☐ ¨ Note: If “no” to Section 3(d), then in accordance with guidance provided by the Commission’s staff, the Company will identify staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ☐ o  No ☐o (b) If “yes” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes ☐ o  No ☐ o Note: If “noyes” to Section 3(b), then in accordance with guidance provided by the Commission’s staff, the Company will identify staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes ☐ o No ☐o (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ☐ o  No ☐ o Note: If “no” to Section 3(d), then in accordance with guidance provided by the Commission’s staff, the Company will identify staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ☐ No ☐ (b) If “yes” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes ☐ No ☐ Note: If “no” to Section 3(b), then in accordance with guidance provided by the Commission’s staff, the Company will identify staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes  ☐ No ☐ (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ☐ No ☐ Note: If “no” to Section 3(d), then in accordance with guidance provided by the Commission’s staff, the Company will identify staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes  ☐ No  ☐ (b) If “yes” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes  ☐ No  ☐ Note: If “no” to Section 3(b), then in accordance with guidance provided by the Commission’s staff, the Company will identify staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes  ☐ No  ☐ (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes  ☐ No  ☐ Note: If “no” to Section 3(d), then in accordance with guidance provided by the Commission’s staff, the Company will identify staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ☐  No ☐ (b) If “"yes” " to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes ☐  No ☐  Note: If “"no” " to Section 3(b), then in accordance with guidance provided by the Commission’s staff, the Company will identify 's staff has indicated that you should be identified as an underwriter in the Registration Statement.. <PAGE> (c) Are you an affiliate of a broker-dealer? Yes ☐  No ☐ (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ☐  No ☐  Note: If “"no” " to Section 3(d), then in accordance with guidance provided by the Commission’s staff, the Company will identify 's staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ☐☐ No ☐ (b) If “yes” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes ☐☐ No ☐ Note: If “no” to Section 3(b), then in accordance with guidance provided by the Commission’s staff, the Company will identify staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes ☐ No ☐ (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ☐☐ No ☐ Note: If “no” to Section 3(d), then in accordance with guidance provided by the Commission’s staff, the Company will identify staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ☐ No ☐ (b) If “yes” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes ☐ ☐ No ☐ Note: If “no” to Section 3(b), then in accordance with guidance provided by the Commission’s staff, the Company will identify staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes ☐ ☐ No ☐ (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ☐ ☐ No ☐ Note: If “no” to Section 3(d), then in accordance with guidance provided by the Commission’s staff, the Company will identify staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ☐ ¨ No ☐¨ (b) If “yes” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes ☐ ¨ No ☐ ¨ Note: If “no” to Section 3(b), then in accordance with guidance provided by the Commission’s staff, the Company will identify staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes ☐ ¨ No ☐¨ ARCH THERAPEUTICS, INC. (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ☐ ¨ No ☐ ¨ Note: If “no” to Section 3(d), then in accordance with guidance provided by the Commission’s staff, the Company will identify staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ☐ o  No ☐o  (b) If “yes” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes ☐ o  No ☐ o  Note: If “no” to Section 3(b), then in accordance with guidance provided by the Commission’s staff, the Company will identify staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes ☐ o  No ☐o  (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ☐ o  No ☐ o  Note: If “no” to Section 3(d), then in accordance with guidance provided by the Commission’s staff, the Company will identify staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer?  Yes ☐ No ☐ No (b) If “yes” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company?  Yes ☐  No ☐ Note: If “no” to Section 3(b), then in accordance with guidance provided by the Commission’s staff, the Company will identify staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer?  Yes ☐ No ☐ No (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities?  Yes ☐  No ☐ 4871-7482-8212 Note: If “no” to Section 3(d), then in accordance with guidance provided by the Commission’s staff, the Company will identify staff has indicated that you should be identified as an underwriter in the Registration Statement.