Organizational Structure. Please indicate or (if applicable) describe how the selling securityholder is organized. Is the selling securityholder a natural person? (If so, please xxxx the box and skip to Question 5.) ___ Yes ___ No Is the selling securityholder a reporting company under the Securities Exchange Act of 1934, as amended (the “Exchange Act”)? (If so, please xxxx the box and skip to Question 5.) ___ Yes ___ No Is the selling securityholder a majority-owned subsidiary of a reporting company under the Exchange Act? (If so, please xxxx the box and skip to Question 5.) ___ Yes ___ No Is the selling securityholder a registered investment company under the Investment Company Act of 1940? (If so, please xxxx the box and skip to Question 5.) ___ Yes ___ No If the answer to all of the foregoing questions is “no,” please describe: (i) the exact legal description of the selling securityholder (e.g., corporation, partnership, limited liability company, etc.); (ii) whether the legal entity so described is managed by another entity and the exact legal description of such entity (repeat this step until the last entity described is managed by a person or persons, each of whom is described in any one of (a) through (d) above); (iii) the names of each person or persons having voting and investment control over the Company’s securities that the entity owns (e.g., director(s), general partner(s), managing member(s), etc.).
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Samples: Private Placement Subscription Agreement (ALKALINE WATER Co INC), Subscription Agreement (Energizer Resources, Inc.)
Organizational Structure. Please indicate or (if applicable) describe how the selling securityholder shareholder is organized. .
(a) Is the selling securityholder shareholder a natural person? (If so, please xxxx the box and skip to Question 5.) ___ Yes ___ No No
(b) Is the selling securityholder shareholder a reporting company under the Securities Exchange Act of 1934, as amended (the “Exchange Act”)? (If so, please xxxx the box and skip to Question 5.) ___ Yes ___ No No
(c) Is the selling securityholder shareholder a majority-owned subsidiary of a reporting company under the Exchange Act? (If so, please xxxx the box and skip to Question 5.) ___ Yes ___ No No
(d) Is the selling securityholder shareholder a registered investment company under the Investment Company Act of 1940? (If so, please xxxx the box and skip to Question 5.) ___ Yes ___ No If the answer to all of the foregoing questions is “no,” please describe: (i) the exact legal description of the selling securityholder shareholder (e.g., corporation, partnership, limited liability company, etc.); (ii) whether the legal entity so described is managed by another entity and the exact legal description of such entity (repeat this step until the last entity described is managed by a person or persons, each of whom is described in any one of (a) through (d) above); (iii) the names of each person or persons having voting and investment control over the Company’s securities that the entity owns (e.g., director(s), general partner(s), managing member(s), etc.).
(e) Legal Description of Entity:___________________________________________
(f) Name of Entity Managing Selling Shareholder Entity (if any):
(g) Name of Entity Managing such Managing Entity (if any):
(h) Name(s) of Natural Person(s) Having Voting or Investment Control Over the Shares Held by Selling Shareholder Entity:
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Samples: Merger Agreement (Stock Yards Bancorp, Inc.), Registration Rights Agreement (Stock Yards Bancorp, Inc.)
Organizational Structure. Please indicate or (if applicable) describe how the selling securityholder is organized. Is the selling securityholder a natural person? (If so, please xxxx the box and skip to Question 5.) ___ Yes ___ No Is the selling securityholder a reporting company under the Securities Exchange Act of 1934, as amended (the “"Exchange Act”")? (If so, please xxxx the box and skip to Question 5.) ___ Yes ___ No Is the selling securityholder a majority-owned subsidiary of a reporting company under the Exchange Act? (If so, please xxxx the box and skip to Question 5.) ___ Yes ___ No Is the selling securityholder a registered investment company under the Investment Company Act of 1940? (If so, please xxxx the box and skip to Question 5.) ___ Yes ___ No If the answer to all of the foregoing questions is “"no,” " please describe: (i) the exact legal description of the selling securityholder (e.g., corporation, partnership, limited liability company, etc.); (ii) whether the legal entity so described is managed by another entity and the exact legal description of such entity (repeat this step until the last entity described is managed by a person or persons, each of whom is described in any one of (a) through (d) above); (iii) the names of each person or persons having voting and investment control over the Company’s 's securities that the entity owns (e.g., director(s), general partner(s), managing member(s), etc.).
(a) Legal Description of Entity:
(b) Name of Entit(ies)/(y) Managing Such Entity (if any):
(c) Name of Entit(ies)/(y) Managing such Entit(ies)/(y) (if any):
(d) Name(s) of Natural Person(s) Having Voting or Investment Control Over the Shares Held by such Entit(ies)/(y):
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Samples: Private Placement Subscription Agreement (ALKALINE WATER Co INC)
Organizational Structure. Please indicate or (if applicable) describe how the selling securityholder is organized. Is the selling securityholder a natural person? (If so, please xxxx mark the box and skip to Question 5.) ___ Yes ___ No Is the selling securityholder a reporting company under the Securities Exchange Act of 1934, as amended (the “"Exchange Act”")? (If so, please xxxx mark the box and skip to Question 5.) ___ Yes ___ No Is the selling securityholder a majority-owned subsidiary of a reporting company under the Exchange Act? (If so, please xxxx mark the box and skip to Question 5.) ___ Yes ___ No Is the selling securityholder a registered investment company under the Investment Company Act of 1940? (If so, please xxxx mark the box and skip to Question 5.) ___ Yes ___ No If the answer to all of the foregoing questions is “"no,” " please describe: (i) the exact legal description of the selling securityholder (e.g., corporation, partnership, limited liability company, etc.); (ii) whether the legal entity so described is managed by another entity and the exact legal description of such entity (repeat this step until the last entity described is managed by a person or persons, each of whom is described in any one of (a) through (d) above); (iii) the names of each person or persons having voting and investment control over the Company’s 's securities that the entity owns (e.g., director(s), general partner(s), managing member(s), etc.).
(a) Legal Description of Entity:
(b) Name of Entit(ies)/(y) Managing Such Entity (if any):
(c) Name of Entit(ies)/(y) Managing such Entit(ies)/(y) (if any):
(d) Name(s) of Natural Person(s) Having Voting or Investment Control Over the Shares Held by such Entit(ies)/(y):
Appears in 1 contract
Samples: Private Placement Subscription Agreement (ALKALINE WATER Co INC)
Organizational Structure. Please indicate or (if applicable) describe how the selling securityholder shareholder is organized. Is the selling securityholder shareholder a natural person? (If so, please xxxx the marx xxe box and skip to Question 5.) ___ ¨ Yes ___ ¨ No Is the selling securityholder shareholder a reporting company under the Securities Exchange Act of 1934, as amended (the “Exchange Act”)? (If so, please xxxx the marx xxe box and skip to Question 5.) ___ ¨ Yes ___ ¨ No Is the selling securityholder shareholder a majority-owned subsidiary of a reporting company under the Exchange Act? (If so, please xxxx the marx xxe box and skip to Question 5.) ___ ¨ Yes ___ ¨ No Is the selling securityholder shareholder a registered investment company under the Investment Company Act of 1940? (If so, please xxxx the marx xxe box and skip to Question 5.) ___ ¨ Yes ___ ¨ No If the answer to all of the foregoing questions is “no,” please describe: (i) the exact legal description of the selling securityholder shareholder (e.g., corporation, partnership, limited liability company, etc.); (ii) whether the legal entity so described is managed by another entity and the exact legal description of such entity (repeat this step until the last entity described is managed by a person or persons, each of whom is described in any one of (a) through (d) above); (iii) the names of each person or persons having voting and investment control over the Company’s securities that the entity owns (e.g., director(s), general partner(s), managing member(s), etc.).
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Organizational Structure. Please indicate or (if applicable) describe how the selling securityholder is organized. you are organizaed
(a) Is the selling securityholder Stockholder a natural person? (If if so, please xxxx the box yes and skip to Question 5.4) ___ Yes ___ o No o
(b) Is the selling securityholder Stockholder a reporting company under the Securities Exchange Act of 1934, as amended 1934 (the “Exchange Act”)? (If if so, please xxxx the box yes and skip to Question 5.4) ___ Yes ___ o No o
(c) Is the selling securityholder Stockholder a majority-owned subsidiary of a reporting company under the Exchange Act? (If if so, please xxxx the box yes and skip to Question 5.4) ___ Yes ___ o No o
(d) Is the selling securityholder Stockholder a registered investment company under the Investment Company Act of 1940? (If if so, please xxxx the box yes and skip to Question 5.4) ___ Yes ___ o No o If the answer to all of the foregoing questions is “no,” please describe: (i) the exact legal description of the selling securityholder Stockholder (e.g., corporation, partnership, limited liability company, etc.); (ii) whether the legal entity so described is managed by another entity and the exact legal description of such entity (repeat this step until the last entity described is managed by a person or persons, each of whom is described in any one of (a) through (d) above); (iii) the names of each person or persons having voting and investment control over the Company’s securities that the entity owns (e.g., director(s), general partner(s), managing member(s), etc.).
(e) Legal Description of Entity:
(f) Name of Entit(ies)/(y) Managing Such Entity (if any)::
(g) Name of Entit(ies)/(y) Managing such Entit(ies)/(y) (if any):
(h) Name(s) of Natural Person(s) Having Voting or Investment Control Over the Shares Held by such Entit(ies)/(y):
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Organizational Structure. Please indicate or (if applicable) describe how the selling securityholder is organized. Is the selling securityholder a natural person? (If so, please xxxx the box and skip to Question 5.) ___ Yes ___ No Is the selling securityholder a reporting company under the Securities Exchange Act of 1934, as amended (the “"Exchange Act”")? (If so, please xxxx the box and skip to Question 5.) ___ Yes ___ No Is the selling securityholder a majority-owned subsidiary of a reporting company under the Exchange Act? (If so, please xxxx the box and skip to Question 5.) ___ Yes ___ No Is the selling securityholder a registered investment company under the Investment Company Act of 1940? (If so, please xxxx the box and skip to Question 5.) ___ Yes ___ No If the answer to all of the foregoing questions is “"no,” " please describe: (i) the exact legal description of the selling securityholder (e.g., corporation, partnership, limited liability company, etc.); (ii) whether the legal entity so described is managed by another entity and the exact legal description of such entity (repeat this step until the last entity described is managed by a person or persons, each of whom is described in any one of (a) through (d) above); (iii) the names of each person or persons having voting and investment control over the Company’s 's securities that the entity owns (e.g., director(s), general partner(s), managing member(s), etc.).
Appears in 1 contract
Samples: Private Placement Subscription Agreement (ALKALINE WATER Co INC)
Organizational Structure. Please indicate or (if applicable) describe how the selling securityholder Selling Stockholder is organized. .
(a) Is the selling securityholder Selling Stockholder a natural person? ¨ Yes ¨ No (If if so, please xxxx mark the box and skip to Question 5.)
(b) ___ Yes ___ No Is the selling securityholder Selling Stockholder a reporting company under the Securities Exchange Act of 1934, as amended (the “Exchange Act”)? ¨ Yes ¨ No (If if so, please xxxx mark the box and skip to Question 5.)
(c) ___ Yes ___ No Is the selling securityholder Selling Stockholder a majority-owned subsidiary of a reporting company under the Exchange Act? ¨ Yes ¨ No (If if so, please xxxx mark the box and skip to Question 5.)
(d) ___ Yes ___ No Is the selling securityholder Selling Stockholder a registered investment company fund under the Investment Company Act of 1940? ¨ Yes ¨ No (If if so, please xxxx mark the box and skip to Question 5.) ___ Yes ___ No If the answer to all of the foregoing questions in this Section 4 is “no,” please describe: (i) the exact legal description of the selling securityholder entity (e.g., corporation, partnership, limited liability company, etc.); (ii) whether the legal entity so described is managed by another entity and the exact legal description of such entity (repeat this step until the last entity described is managed by a person or persons, each of whom is described in any one of (a) through (d) above); , (iii) the names of each person or persons having voting and investment control over the Company’s securities that the entity owns (e.g., director(s), general partner(s), managing member(s), etc.).
Appears in 1 contract
Samples: Subscription Agreement (DiamondHead Holdings Corp.)
Organizational Structure. Please indicate or (if applicable) describe how the selling securityholder shareholder is organized. Is the selling securityholder shareholder a natural person? (If soyes, please xxxx mxxx the box and skip to Question 5.) ___ Yes ___ No Is the selling securityholder shareholder a reporting company under the Securities Exchange Act of 1934, as amended (the “Exchange Act”)? (If soyes, please xxxx mxxx the box and skip to Question 5.) ___ Yes ___ No Is the selling securityholder shareholder a majority-owned subsidiary of a reporting company under the Exchange Act? (If soyes, please xxxx mxxx the box and skip to Question 5.) ___ Yes ___ No Is the selling securityholder shareholder a registered investment company under the Investment Company Act of 1940? (If soyes, please xxxx mxxx the box and skip to Question 5.) ___ Yes ___ No If the answer to all of the foregoing questions is “no,” please describe: (i) the exact legal description of the selling securityholder shareholder (e.g., corporation, partnership, limited liability company, etc.); (ii) whether the legal entity so described is managed by another entity and the exact legal description of such entity (repeat this step until the last entity described is managed by a person or persons, each of whom is described in any one of (a) through (d) above); (iii) the names of each person or persons having voting and investment control over the Company’s securities that the entity owns (e.g., director(s), general partner(s), managing member(s), etc.).
Appears in 1 contract
Organizational Structure. Please indicate or (if applicable) describe how the selling securityholder is organized. Is the selling securityholder a natural person? (If so, please xxxx the box and skip to Question 5.) ___ ¨ Yes ___ ¨ No Is the selling securityholder a reporting company under the Securities Exchange Act of 1934, as amended (the “Exchange Act”)? (If so, please xxxx the box and skip to Question 5.) ___ ¨ Yes ___ ¨ No Is the selling securityholder a majority-owned subsidiary of a reporting company under the Exchange Act? (If so, please xxxx the box and skip to Question 5.) ___ ¨ Yes ___ ¨ No Is the selling securityholder a registered investment company under the Investment Company Act of 1940? (If so, please xxxx the box and skip to Question 5.) ___ ¨ Yes ___ ¨ No If the answer to all of the foregoing questions is “no,” please describe: (i) the exact legal description of the selling securityholder (e.g., corporation, partnership, limited liability company, etc.); (ii) whether the legal entity so described is managed by another entity and the exact legal description of such entity (repeat this step until the last entity described is managed by a person or persons, each of whom is described in any one of (a) through (d) above); (iii) the names of each person or persons having voting and investment control over the Company’s securities that the entity owns (e.g., director(s), general partner(s), managing member(s), etc.).
(a) Legal Description of Entity:
(b) Name of Entit(ies)/(y) Managing Such Entity (if any):
(c) Name of Entit(ies)/(y) Managing such Entit(ies)/(y) (if any):
(d) Name(s) of Natural Person(s) Having Voting or Investment Control Over the Shares Held by such Entit(ies)/(y):
Appears in 1 contract
Organizational Structure. Please indicate or (if applicable) describe how the selling securityholder is organized. Is the selling securityholder a natural person? Yes No (If so, please xxxx mark the box and skip to Question 5.) ___ Yes ___ No Is the selling securityholder a reporting company under the Securities Exchange Act of 1934, as amended (the “"Exchange Act”")? (If so, please xxxx the box and skip to Question 5.) ___ Yes ___ No Is the selling securityholder a majority-majority- owned subsidiary of a reporting company under the Exchange Act? Yes No (If so, please xxxx mark the box and skip to Question 5.) ___ Yes ___ No Is the selling securityholder a registered investment company under the Investment Company Act of 1940? (If so, please xxxx the box and skip to Question 5.) ___ Yes ___ No If the answer to all of the foregoing questions is “"no,” " please describe: (i) the exact legal description of the selling securityholder (e.g., corporation, partnership, limited liability company, etc.); (ii) whether the legal entity so described is managed by another entity and the exact legal description of such entity (repeat this step until the last entity described is managed by a person or persons, each of whom is described in any one of (a) through (d) above); (iii) the names of each person or persons having voting and investment control over the Company’s 's securities that the entity owns (e.g., director(s), general partner(s), managing member(s), etc.).
Appears in 1 contract
Organizational Structure. Please indicate or (if applicable) describe how the selling securityholder is you are organized. Is the selling securityholder .
(a) Are you a natural person? (If if so, please xxxx the box and skip to Question 5.) ___ o Yes ___ No Is the selling securityholder o No
(b) Are you a reporting company under the Securities Exchange Act of 1934, as amended (the “Exchange 1934 Act”)? (If if so, please xxxx the box and skip to Question 5.) ___ o Yes ___ No Is the selling securityholder o No
(c) Are you a majority-owned subsidiary of a reporting company under the Exchange 1934 Act? (If if so, please xxxx the box and skip to Question 5.) ___ o Yes ___ No Is the selling securityholder o No
(d) Are you a registered investment company fund under the Investment Company Act of 19401940 Act? (If if so, please xxxx the box and skip to Question 5.) ___ o Yes ___ o No If the answer you have answered "no" to all of the foregoing questions is “no,” questions, please describe: (i) the exact legal description of the selling securityholder your entity (e.g., corporation, partnership, limited liability company, etc.); (ii) whether the legal entity so described is managed by another entity and the exact legal description of such entity (repeat this step until the last entity described is managed by a person or persons, each of whom is described in any one of (a) through (d) above); , (iii) the names of each person or persons having voting and investment control over the Company’s 's securities that the entity owns (e.g., director(s), general partner(s), managing member(s), etc.).. Name of Entity(ies) Managing Such Entity (if any):
Appears in 1 contract
Samples: Registration Rights Agreement (Janel World Trade LTD)
Organizational Structure. Please indicate or (if applicable) describe how the selling securityholder is ------------------------- you are organized. Is the selling securityholder .
(a) Are you a natural person? --------------- (If soIF SO, please xxxx the box and skip to Question PLEASE XXXX THE BOX AND SKIP TO QUESTION 5.) ___ Yes ___ No Is the selling securityholder --- ---
(b) Are you a reporting company under the Securities Exchange Act of 19341934 Act? ------------------ (IF SO, as amended PLEASE XXXX THE BOX AND SKIP TO QUESTION 5) Yes No --- ---
(the “Exchange Act”)? (If so, please xxxx the box and skip to Question 5.c) ___ Yes ___ No Is the selling securityholder Are you a majority-owned subsidiary of a reporting ------------------------- company under the Exchange 1934 Act? (If soIF SO, please xxxx the box and skip to Question PLEASE XXXX THE BOX AND SKIP TO QUESTION 5.) ___ Yes ___ No Is the selling securityholder --- ---
(d) Are you a registered investment company fund under ---------------------------- the Investment Company Act of 19401940 Act? (IF SO, PLEASE XXXX THE BOX AND SKIP TO QUESTION 5) Yes No --- --- If so, please xxxx the box and skip to Question 5.) ___ Yes ___ No If the answer you have answered "no" to all of the foregoing questions is “no,” questions, please describe: (i) the exact legal description of the selling securityholder your entity (e.g., corporation, partnership, limited liability company, etc.); (ii) whether the legal entity so described is managed by another entity and the exact legal description of such entity (repeat this step until the last entity described is managed by a person or persons, each of whom is described in any one of (a) through (d) above); , (iii) the names of each person or persons having voting and investment control over the Company’s 's securities that the entity owns (e.g., director(s), general partner(s), managing member(s), etc.).
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