Ownership of the Company’s Securities. This question covers your beneficial ownership of the Company’s securities. Please consult the Appendix A to this Questionnaire for information as to the meaning of “beneficial ownership.” State the number of shares of the Company’s common stock that you beneficially owned as of the date this Questionnaire is signed:
Ownership of the Company’s Securities. This question covers beneficial ownership of the Company's securities. Please consult Appendix A to this Questionnaire for information as to the meaning of "beneficial ownership." State (a) the number of shares of the Company's common stock (including any shares issuable upon exercise of warrants or other convertible securities) that the selling securityholder beneficially owned as of the date this Questionnaire is signed and (b) the number of such shares of the Company's common stock that the selling securityholder wishes to have registered for resale in the Registration Statement:
(a) Number of shares of common stock, convertible debentures, warrants and other equity securities or convertible securities owned:
(b) Number of shares of common stock and shares of common stock underlying convertible debentures, warrants and other equity securities or convertible securities owned to be registered for resale in the Registration Statement:
Ownership of the Company’s Securities. This question covers beneficial ownership of the Company’s securities. Please see below for information as to the meaning of “beneficial ownership.” State (a) the number of shares of the Company’s common stock (including any shares issuable upon exercise of warrants or other convertible securities) that the selling securityholder beneficially owned as of the date this Questionnaire is signed and (b) the number of such shares of the Company’s common stock that the selling securityholder wishes to have registered for resale in the Registration Statement:
(a) Number of shares of common stock and other equity securities owned:
(b) Number of shares of common stock and other equity securities owned to be registered for resale in the Registration Statement: A “Beneficial Owner” of a security includes any person who, directly or indirectly, through any contract, arrangement, understanding, relationship or otherwise has or shares: (a) Voting power which includes the power to vote, or to direct the voting of, such security; and/or (b) Investment power which includes the power to dispose, or direct the disposition of, such security. Please note that either voting power or investment power, or both, is sufficient for you to be considered the beneficial owner of shares. Any person who, directly or indirectly, creates or uses a trust, proxy, power of attorney, pooling arrangement or any other contract, arrangement or device with the purpose or effect of divesting such person of beneficial ownership of a security or preventing the vesting of such beneficial ownership as part of a plan or scheme to evade the reporting requirements of the federal securities acts shall be deemed to be the beneficial owner of such security. Notwithstanding the foregoing, a person is deemed to be the “beneficial owner” of a security if that person has the right to acquire beneficial ownership of such security within 60 days, including but not limited to any right to acquire: (a) through the exercise of any option, warrant or right; (b) through the conversion of a security; (c) pursuant to the power to revoke a trust, discretionary account or similar arrangement; or (d) pursuant to the automatic termination of a trust, discretionary account or similar arrangement; provided, however, any person who acquires a security or power specified in (a), (b) or (c) above, with the purpose or effect of changing or influencing the control of the issuer, or in connection with or as a participant in any tran...
Ownership of the Company’s Securities. This question covers beneficial ownership of the Company’s securities. Please consult Appendix A to this Questionnaire for information as to the meaning of “beneficial ownership”. State
(a) the number of shares of the Company’s common stock (including any shares issuable upon exercise of warrants or other convertible securities) that the selling securityholder beneficially owned as of the date this Questionnaire is signed (not including the Purchased Securities or Registrable Securities) and (b) the number of Registrable Securities underlying the Purchased Securities purchased in the Offering that the selling securityholder wishes to have registered for resale in the Resale Registration Statement (or, at your convenience, simply specify the number of Purchased Securities and we will be permitted to assume that you wish all underlying Registrable Securities to be included in the Resale Registration Statement):
(a) Number of shares of common stock and other equity securities owned (not including the securities purchased in the Offering): ____________________________________________________________
Ownership of the Company’s Securities. This question covers beneficial ownership of the Company's securities. State (a) the number of shares of the Company's common stock (including any shares issuable upon exercise of warrants or other convertible securities) that the selling security holder beneficially owned as of the date this Questionnaire is signed and (b) the number of such shares of the Company's common stock that the selling security holder wishes to have registered for resale in the Registration Statement:
(a) Number of shares of common stock and other equity securities owned:
(b) Number of shares of common stock and other equity securities owned to be registered for resale in the Registration Statement:
Ownership of the Company’s Securities. This question covers beneficial ownership of the Company’s securities. Please consult Appendix A to this Questionnaire for information as to the meaning of “beneficial ownership.” State (a) the number of shares of the Company’s common stock (including any shares issuable upon exercise of warrants or other convertible securities) that the selling securityholder beneficially owned as of the date this Questionnaire is signed and (b) the number of such shares of the Company’s common stock that the selling securityholder wishes to have registered for resale in the Registration Statement:
(a) Number of shares of common stock and other equity securities owned:
(b) Number of shares of common stock and other equity securities owned to be registered for resale in the Registration Statement:
Ownership of the Company’s Securities. This question covers beneficial ownership of the Company’s securities and information on the registration of Stock Yards common stock for resale. Please consult Annex A to this Questionnaire for information as to the meaning of “beneficial ownership.”
(a) Check if you intend for all of your shares of Stock Yards common stock issued in connection with the Merger to be registered for resale: ☐
(b) List the number of shares of Stock Yards common stock you beneficially own other than the shares issued in connection with the Merger. If you do not list any securities in this Item 5(b), you acknowledge that you do not own any shares of Stock Yards common stock other than those issued to you in connection with the Merger. ____________
Ownership of the Company’s Securities. This question covers beneficial ownership of the Company’s securities. Please consult Appendix A to this Questionnaire for information as to the meaning of “beneficial ownership.” State (a) the number of shares of the Company’s common stock (including any shares issuable upon exercise of warrants or other convertible securities) that the Selling Securityholder beneficially owned as of the date this Questionnaire is signed and (b) the number of such shares of the Company’s common stock that the Selling Securityholder wishes to have registered for resale in the Registration Statement: ____________________________________________________________ ____________________________________________________________
Ownership of the Company’s Securities. This question covers beneficial ownership of the Company's securities. Please consult Appendix A to this Questionnaire for information as to the meaning of "beneficial ownership." State (a) the number of shares of the Company's common stock (including any shares issuable upon exercise of warrants or other convertible securities) that the selling securityholder beneficially owned as of the date this Questionnaire is signed and (b) the number of such shares of the Company's common stock that the selling securityholder wishes to have registered for resale in the Registration Statement:
(a) Number of shares of common stock, convertible debentures, warrants and other equity securities or convertible securities owned: ________________________________________________________________________________________
(b) Number of shares of common stock and shares of common stock underlying convertible debentures, warrants and other equity securities or convertible securities owned to be registered for resale in the Registration Statement: ________________________________________________________________________________________
Ownership of the Company’s Securities. This Question covers beneficial ownership of the Company’s securities. Please consult Appendix A to this Questionnaire for information as to the meaning of “beneficial ownership.” Please state below (a) the number of Registrable Securities that the selling stockholder beneficially owned as of the date this Questionnaire is signed; (b) the nature of the voting power or investment power held by the selling stockholder; and (c) the number of Registrable Securities that the selling stockholder wishes to have registered for resale in the Resale Registration Statement:
(a) Number of Registrable Securities beneficially owned by the selling stockholder:
(b) Of the Registrable Securities beneficially owned by the selling stockholder identified in Question 4(a) above, please state the number of Registrable Securities over which each of (i) the selling stockholder and (ii) each natural person or public held entity identified in response to Question 3(d) above, if applicable, has sole voting power, shared voting power, sole investment power and/or shared investment power. Total number of Registrable Securities as to which the person has sole voting power Total number of Registrable Securities as to which the person has shared voting power Total number of Registrable Securities as to which the person has sole investment power Total number of Registrable Securities as to which the person has shared investment power Does the selling stockholder or any natural person or publicly held entity identified in response to Question 3(d) above, if applicable, wish to disclaim beneficial ownership of any of the Registrable Securities reported in the table in this Question 4(b) above? ___ Yes ___ No If so, please identify the person(s) disclaiming beneficial ownership, indicate the number of Registrable Securities in question, the name of the actual beneficial owner(s) and the relationship of such actual beneficial owner(s) to such person(s) disclaiming beneficial ownership:
(c) Of the Registrable Securities beneficially owned by the selling stockholder identified in response to Question 4(a) above, state the number of Registrable Securities to be registered for resale in the Resale Registration Statement:
