No Broker-Dealer Subsidiary. No Seller Entity is a broker-dealer required to be registered under the Exchange Act with the SEC.
No Broker-Dealer Subsidiary. Neither Southwest nor any Southwest Subsidiary is a broker-dealer required to be registered under the Exchange Act with the SEC.
No Broker-Dealer Subsidiary. Except as set forth on Section 4.38 of Malvern’s Disclosure Memorandum, neither Malvern nor any Malvern Subsidiary is a broker-dealer required to be registered under the Exchange Act with the SEC.
No Broker-Dealer Subsidiary. Neither TCBI nor any Subsidiary of TCBI is a broker-dealer required to be registered under the Exchange Act with the SEC.
No Broker-Dealer Subsidiary. Neither IBTX nor any Subsidiary of IBTX is a broker-dealer required to be registered under the Exchange Act with the SEC.
No Broker-Dealer Subsidiary. Neither Legacy nor any Legacy Subsidiary is a broker-dealer required to be registered under the Exchange Act with the SEC. Neither Legacy nor any Legacy Subsidiary is subject to Section 9(c) or 9(b) of the Investment Company Act of 1940.
No Broker-Dealer Subsidiary. No Green Entity is a “broker” or “dealer” (in each case, as defined in the Exchange Act) required to be registered under the Exchange Act with the SEC.
No Broker-Dealer Subsidiary. Neither GBNK nor any Subsidiary of GBNK is a broker-dealer required to be registered under the Exchange Act with the SEC. Neither GBNK nor any Subsidiary of GBNK is subject to Section 9(a) or 9(b) of the Investment Company Act of 1940.
No Broker-Dealer Subsidiary. Neither BYBK nor any BYBK Subsidiary is a broker-dealer required to be registered under the Exchange Act with the SEC.
No Broker-Dealer Subsidiary. Neither First Texas nor any First Texas Subsidiary is a broker-dealer required to be registered under the Exchange Act with the SEC.
