Nature of Beneficial Ownership Sample Clauses

Nature of Beneficial Ownership. The purpose of this section is to identify the ultimate natural person(s) or publicly held entity(ies) that exercise(s) sole or shared voting or dispositive power over the Registrable Securities. (a) Is the Selling Securityholder a natural person? ☐ Yes. ☐ No. (b) Is the Selling Securityholder required to file, or is it a wholly owned subsidiary of an entity that is required to file, periodic and other reports (for example, Forms 10-K, 10-Q and 8-K) with the Commission pursuant to Section 13(a) or 15(d) of the Exchange Act? ☐ Yes. ☐ No. (c) Is the Selling Securityholder an investment company, or a subsidiary of an investment company, registered under the Investment Company Act of 1940, as amended? ☐ Yes. ☐ No. (d) If the Selling Securityholder is a subsidiary of such an investment company, please identify the investment company: (e) Identify below the name of each natural person or entity that has sole or shared investment or voting control over the securities listed in Item 3 above:
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Nature of Beneficial Ownership. (a) Are any shares of common stock indicated in response to Item 2 as beneficially owned by you owned other than for your own economic benefit? Yes No (b) Are any shares of common stock indicated in response to Item 2 as beneficially owned by you shares which you have the right to acquire within 60 days? Yes No If your answer is yes to either Item 4(a) or 4(b), please explain: (c) Do you share voting or investment power over any shares of capital stock of the Company? Yes No If your answer is yes, please identify the persons with whom you share such power and the relationship that gives rise to the sharing of such power. (d) Are you aware of any voting trust or other similar agreement relating to more than 5% of any class of voting securities of the Company? Yes No If your answer is yes, please describe:
Nature of Beneficial Ownership. The purpose of this section is to identify the ultimate natural person(s) or publicly held entity(ies) that exercise(s) sole or shared voting or dispositive power over the Registrable Securities. (a) Is the Selling Securityholder a natural person? [_] Yes. [_] No. (b) Is the Selling Securityholder required to file, or is it a wholly owned subsidiary of an entity that is required to file, periodic and other reports (for example, Forms 10-K, 10-Q and 8-K) with the SEC pursuant to Section 13(a) or 15(d) of the Exchange Act? [_] Yes. [_] No. (c) Is the Selling Securityholder an investment company, or a subsidiary of an investment company, registered under the Investment Company Act of 1940, as amended? [_] Yes. [_] No. (d) If the Selling Securityholder is a subsidiary of such an investment company, please identify the investment company: (e) Identify below the name of each natural person or entity that has sole or shared investment or voting control over the securities listed in Item 3 above: PLEASE NOTE THAT THE SEC REQUIRES THAT THESE NATURAL PERSONS AND ENTITIES BE NAMED IN THE PROSPECTUS
Nature of Beneficial Ownership. The purpose of this question is to identify the “beneficial owner” of the Registrable Securities. Please see Exhibit A for the definition of “beneficial owner.” (a) The Selling Stockholder is (please check one): ☐ a natural person ☐ a company that is required to file, or is a wholly owned subsidiary of a company that is required to file, periodic and other reports (e.g., Forms 10-K, 00-X, 0-X) with the Commission pursuant to Section 13(a) or 15(d) of the Exchange Act If a subsidiary, please identify the reporting company parent: ☐ a registered investment company, or a subsidiary of a registered investment company, under the Investment Company Act of 1940 If a subsidiary, please identify the registered investment company parent: ☐ a non-profit charitable foundation under Section 501(c)(3) of the Internal Revenue Codea corporation* ☐ a limited liability company* ☐ a general partnership* ☐ a limited liability limited partnership or a limited partnership* ☐ a trust* ☐ other* (please specify) (b) Please (i) identify the full legal name and title of each natural person who, directly or indirectly through any contract, arrangement, understanding, relationship, or otherwise, exercises sole or shared voting and/or investment control over the Registrable Securities and (ii) describe the relationship between such natural person(s) and the registered holder of the Registrable Securities (e.g., general partner-limited partnership, trustee-trust). If the Selling Stockholder is managed or controlled by another entity instead of one or more natural persons, please proceed up the entity chain until you reach the one or more natural persons that exercise sole or shared voting and/or investment control over the Registrable Securities.
Nature of Beneficial Ownership. (a) Check if the Selling Securityholder set forth in your response to Item 1(a) is any of the below: (A) A reporting company under the Exchange Act. o (B) A majority owned subsidiary of a reporting company under the Exchange Act. o (C) A registered investment fund under the Investment Company Act of 1940. o (b) If the Selling Securityholder set forth in your response to Item 1(a) above is a limited partnership, state the names of the general partners of such limited partnership: (A) With respect to each general partner listed in Item 4(b) above who is not a natural person, and is not publicly-held, name each shareholder (or holder of partnership interests, if applicable) of such general partner. If any of these named shareholders are not natural persons or publicly-held entities, please provide the same information. This process should be repeated until you reach natural persons or a publicly-held entity. (c) Name your controlling shareholder(s) (the “Controlling Entity”). If the Controlling Entity is not a natural person and is not a publicly-held entity, name each shareholder of such Controlling Entity. If any of these named shareholders are not natural persons or publicly-held entities, please provide the same information. This process should be repeated until you reach natural persons or a publicly-held entity. (i) Full legal name of Controlling Entity(ies) or natural person(s) who have sole or shared voting or dispositive power over the Registrable Securities: (ii) Business address (including street address) (or residence if no business address), telephone number and facsimile number of such person(s): Address: __________________________________ Telephone No.: _______________________ Fax No.: (iii) Name of shareholders: (B) (i) Full legal name of Controlling Entity(ies):
Nature of Beneficial Ownership. If the name of the beneficial owner of the shares of Common Stock set forth in your response to Item 4(a) above is that of a limited partnership, state the names of the general partners of such limited partnership:
Nature of Beneficial Ownership. The purpose of this section is to identify the ultimate natural persons or publicly held entities that exercises sole or shared voting or dispositive power over the Registrable Securities. (a) Is the Selling Security Holder a natural person? [ ] Yes. [ ] No. (b) Is the Selling Security Holder required to file, or is it a wholly owned subsidiary of an entity that is required to file, periodic and other reports (for example, Forms 10-K, 10-Q and 8-K) with the Commission pursuant to Section 13(a) or 15(d) of the Exchange Act? [ ] Yes. [ ] No. (c) Is the Selling Security Holder an investment company, or a subsidiary of an investment company, registered under the Investment Company Act of 1940, as amended? [ ] Yes. [ ] No. (d) If the Selling Security Holder is a subsidiary of such an investment company, please identify the investment company: (e) If you answered ‘‘No’’ to questions (a), (b) and (c) above, please identify the controlling person(s) of the Selling Security Holder (the ‘‘Controlling Entity’’). If the Controlling Entity is not a natural person or a publicly held entity, please identify each controlling person(s) of such Controlling Entity. This process should be repeated until you reach natural persons or a publicly held entity that exercise sole or shared voting or dispositive power over the Registrable Securities:
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Nature of Beneficial Ownership. (a) Full legal name of Manager's controlling stockholders who have sole or shared voting or dispositive power over the Registrable Shares: ____________________________________________________________________ (b) Business address (including street address)(or residence if no business address), telephone number and facsimile number of such person(s): Address: ___________________________________________________________ ____________________________________________________________________ ____________________________________________________________________ Telephone: _________________________________________________________ Fax: _______________________________________________________________
Nature of Beneficial Ownership a. Is the Selling Stockholder a natural person? Yes ☐ No ☐ b. Is the Selling Stockholder required to file, or is it a wholly owned subsidiary of a company that is required to file, periodic and other reports (for example, Form 10K, 00-X, 0-X) with the SEC pursuant to Section 13(a) or 15(d) of the Exchange Act? Yes ☐ No ☐ c. Is the Selling Stockholder an investment company, or a subsidiary of an investment company, registered under the Investment Company Act of 1940, as amended? Yes ☐ No ☐ If a subsidiary, please identify the publicly held parent entity: d. Please describe the ultimate controlling person or manager of the Selling Stockholder (publicly traded, privately owned, managed by another entity); and, if controlled or managed by another entity, provide the exact legal description of such entity (repeat this step until the last entity described is managed by a natural person, a reporting entity under the Securities Exchange Act of 1934, or an investment company registered under the Investment Company Act of 1940, as amended).
Nature of Beneficial Ownership. If the name of the beneficial owner of the Registrable Securities set forth in your response to Item 8(a) above is that of a limited partnership, state the names of the general partners of such limited partnership:
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