Common use of Securities Holdings Clause in Contracts

Securities Holdings. Please fill in all blanks in the following questions related to your beneficial ownership of the Company’s common shares. Generally, the term “beneficial ownership” refers to any direct or indirect interest in the securities which entitles you to any of the rights or benefits of ownership, even though you may not be the holder of record of the securities. For example, securities held in “street name” over which you exercise voting or investment power would be considered beneficially owned by you. Other examples of indirect ownership include ownership by a partnership in which you are a partner or by an estate or trust of which you or any member of your immediate family is a beneficiary. Ownership of securities held in the names of your spouse, minor children or other relatives who live in the same household may be attributed to you. If you have any reason to believe that any interest in securities of the Company which you may have, or the entity for which you are responding may have, however remote, is a beneficial interest, please describe such interest. For purposes of responding to this questionnaire, it is preferable to err on the side of inclusion rather than exclusion. Where the SEC’s interpretation of beneficial ownership would require disclosure of your interest (or the interest of the entity for which you are responding) or possible interest in certain securities of the Company, and you believe that you (or the entity for which you are responding) do not actually possess the attributes of beneficial ownership, an appropriate response is to disclose the interest and, at the same time, disclaim beneficial ownership of the securities. Please indicate the amount of common shares of the Company or any of its subsidiaries which you (or the entity for which you are responding) beneficially owned as of the date you are signing this questionnaire. For each holding: · State the nature of the holding (i.e., held in your own name or in the name of the entity, or any subsidiary or affiliate thereof, for which you are responding, jointly, as a trustee or beneficiary of a trust, as a custodian, as an executor, in discretionary accounts, by your spouse or minor children, by a partnership of which you are a partner and, if by a partnership, state the names of the partners of the partnership, etc.), and · State whether you are, or the entity for which you are responding is, the beneficial owner by reason of (i) sole voting power, (ii) shared voting power, (iii) sole investment power, (iv) shared investment power, (v) the right to acquire stock within 60 days of the end of the calendar year, and/or (vi) the right to acquire stock with the purpose of changing or influencing control. · Indicate in the Remarks column whether you, or the entity (or any subsidiary or affiliate thereof) for which you are responding, have sole or shared voting or investment power with respect to any such securities, and in what capacity (i.e., individual, general partner, trustee) you or such entity or entities have such power or powers. · If you wish, or the entity for which you are responding wishes, to disclaim beneficial ownership of any shares listed, so indicate by writing the word “Disclaim” in the Remarks column below; and you understand that such shares will be shown separately from your beneficial holdings, or the beneficial holdings of the entity for which you are responding, and an appropriate disclaimer set forth. · If any of the shares listed are subject to any claim, encumbrance, pledge or lien, so indicate in the Remarks column. Number of Shares Registered in the Name of Beneficially Owned by ________ _______________ _______________ ________ _______________ _______________ ________ _______________ _______________ ________ _______________ _______________ ________ _______________ _______________ ________ _______________ _______________ ________ _______________ _______________ 22 Did you, or the entity for which you are responding, acquire the securities listed above in the ordinary course of business? Yes No If not, explain:__________________________________________________________________ _____________________________________________________________________________ At the time of your purchase, or the purchase by the entity for which you are responding, of the securities listed above, did you have any arrangements or understandings, directly or indirectly, with any person to distribute the securities? Yes No If yes, please describe such arrangements or understandings: _______________________________ ______________________________________________________________________________ ______________________________________________________________________________ 23 5% Equity Security holders To the best of my knowledge, all persons (including myself, or the entity for which I am responding, and my associates and including corporations, partnerships, trusts, associations and other such groups) who beneficially own more than 5% of any class of the Company’s equity securities are described below: Name of Beneficial Owner Class of Equity Securities Beneficially Owned Holder of Voting or Investment Power

Appears in 3 contracts

Samples: Subscription Agreement (Moscow Cablecom Corp), Subscription Agreement (Moscow Telecommunications Corp), Subscription Agreement (Renova Media Enterprises Ltd.)

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Securities Holdings. Please fill in all blanks in the following questions related to your beneficial ownership of the Company’s common sharesstock. Generally, the term “beneficial ownership” refers to any direct or indirect interest in the securities which entitles you to any of the rights or benefits of ownership, even though you may not be the holder of record of the securities. For example, securities held in “street name” over which you exercise voting or investment power would be considered beneficially owned by you. Other examples of indirect ownership include ownership by a partnership in which you are a partner or by an estate or trust of which you or any member of your immediate family is a beneficiary. Ownership of securities held in the names of your spouse, minor children or other relatives who live in the same household may be attributed to you. If you have any reason to believe that any interest in securities of the Company which you may have, or the entity for which you are responding may have, however remote, is a beneficial interest, please describe such interest. For purposes of responding to this questionnaire, it is preferable to err on the side of inclusion rather than exclusion. Where the SEC’s interpretation of beneficial ownership would require disclosure of your interest (or the interest of the entity for which you are responding) or possible interest in certain securities of the Company, and you believe that you (or the entity for which you are responding) do not actually possess the attributes of beneficial ownership, an appropriate response is to disclose the interest and, and at the same time, time disclaim beneficial ownership of the securities. Please indicate the amount of common shares stock of the Company or any of its subsidiaries which you (or the entity for which you are responding) beneficially owned as of the date you are signing this questionnairehereof. For each holding: · State the nature of the holding (i.e., held in your own name or in the name of the entity, or any subsidiary or affiliate thereof, for which you are respondingname, jointly, as a trustee or beneficiary of a trust, as a custodian, as an executor, in discretionary accounts, by your spouse or minor children, by a partnership of which you are a partner and, if by a partnership, state the names of the partners of the partnershippartner, etc.), and · State whether you are, or the entity for which you are responding is, the beneficial owner by reason of (i) sole voting power, (ii) shared voting power, (iii) sole investment power, (iv) shared investment power, (v) the right to acquire stock within 60 days of the end of the calendar year, and/or (vi) the right to acquire stock with the purpose of changing or influencing control. · Indicate in the Remarks column whether you, or the entity (or any subsidiary or affiliate thereof) for which you are responding, have sole or shared voting or investment power with respect to any such securities, and in what capacity (i.e., individual, general partner, trustee) you or such entity or entities have such power or powers. · If you wish, or the entity for which you are responding wishes, wish to disclaim beneficial ownership of any shares listed, so indicate by writing the word “Disclaim” in the Remarks column below; and you understand that such shares will be shown separately from your beneficial holdings, or the beneficial holdings of the entity for which you are responding, and an appropriate disclaimer set forth. · If any of the shares listed are subject to any claim, encumbrance, pledge or lien, so indicate in the Remarks column. Number of Shares Registered in the Name of Beneficially Owned by ________ _______________ _______________ ________ _______________ _______________ ________ _______________ _______________ ________ _______________ _______________ ________ _______________ _______________ ________ _______________ _______________ ________ _______________ _______________ 22 Did you, or the entity for which you are responding, acquire the securities listed above in the ordinary course of business? Yes No If not, explain:__________________________________________________________________ _____________________________________________________________________________ At the time of your purchase, or the purchase by the entity for which you are responding, of the securities listed above, did you have any arrangements or understandings, directly or indirectly, with any person to distribute the securities? Yes No If yes, please describe such arrangements or understandings: _______________________________ ______________________________________________________________________________ ______________________________________________________________________________ 23 5% Equity Security holders To the best of my knowledge, all persons (including myself, or the entity for which I am responding, and my associates and including corporations, partnerships, trusts, associations and other such groups) who beneficially own more than 5% of any class of the Company’s equity securities are described below: Name of Beneficial Owner Class of Equity Securities Beneficially Owned Holder of Voting or Investment Power.

Appears in 2 contracts

Samples: Registration Rights Agreement (Security Devices International Inc.), Registration Rights Agreement (Merica Corp.)

Securities Holdings. Please fill in all blanks in the following questions related to your beneficial ownership of the Company’s common sharesOrdinary Shares. Generally, the term “beneficial ownership” refers to any direct or indirect interest in the securities which entitles you to any of the rights or benefits of ownership, even though you may not be the holder of record of the securities. For example, securities held in “street name” over which you exercise voting or investment power would be considered beneficially owned by you. Other examples of indirect ownership include ownership by a partnership in which you are a partner or by an estate or trust of which you or any member of your immediate family is a beneficiary. Ownership of securities held in the names of your spouse, minor children or other relatives who live in the same household may be attributed to you. If you have any reason to believe that any interest in securities of the Company which you may have, or the entity for which you are responding may have, however remote, is a beneficial interest, please describe such interest. For purposes of responding to this questionnaire, it is preferable to err on the side of inclusion rather than exclusion. Where the SEC’s interpretation of beneficial ownership would require disclosure of your interest (or the interest of the entity for which you are responding) or possible interest in certain securities of the Company, and you believe that you (or the entity for which you are responding) do not actually possess the attributes of beneficial ownership, an appropriate response is to disclose the interest and, and at the same time, time disclaim beneficial ownership of the securities. Please indicate the amount of common shares Ordinary Shares of the Company or any of its subsidiaries which you (or the entity for which you are responding) beneficially owned as of the date you are signing this questionnairehereof. For each holding: · State the nature of the holding (i.e., held in your own name or in the name of the entity, or any subsidiary or affiliate thereof, for which you are respondingname, jointly, as a trustee or beneficiary of a trust, as a custodian, as an executor, in discretionary accounts, by your spouse or minor children, by a partnership of which you are a partner and, if by a partnership, state the names of the partners of the partnershippartner, etc.), and · State whether you are, or the entity for which you are responding is, the beneficial owner by reason of (i) sole voting power, (ii) shared voting power, (iii) sole investment power, (iv) shared investment power, (v) the right to acquire stock within 60 days of the end of the calendar year, and/or (vi) the right to acquire stock with the purpose of changing or influencing control. · Indicate in the Remarks column whether you, or the entity (or any subsidiary or affiliate thereof) for which you are responding, have sole or shared voting or investment power with respect to any such securities, and in what capacity (i.e., individual, general partner, trustee) you or such entity or entities have such power or powers. · If you wish, or the entity for which you are responding wishes, wish to disclaim beneficial ownership of any shares listed, so indicate by writing the word “Disclaim” in the Remarks column below; and you understand that such shares will be shown separately from your beneficial holdings, or the beneficial holdings of the entity for which you are responding, and an appropriate disclaimer set forth. · If any of the shares listed are subject to any claim, encumbrance, pledge or lien, so indicate in the Remarks column. Number of Shares Registered in the Name of Beneficially Owned by ________ _______________ _______________ ________ _______________ _______________ ________ _______________ _______________ ________ _______________ _______________ ________ _______________ _______________ ________ _______________ _______________ ________ _______________ _______________ 22 Did you, or the entity for which you are responding, acquire the securities listed above in the ordinary course of business? Yes No If not, explain:__________________________________________________________________ _____________________________________________________________________________ At the time of your purchase, or the purchase by the entity for which you are responding, of the securities listed above, did you have any arrangements or understandings, directly or indirectly, with any person to distribute the securities? Yes No If yes, please describe such arrangements or understandings: _______________________________ ______________________________________________________________________________ ______________________________________________________________________________ 23 5% Equity Security holders To the best of my knowledge, all persons (including myself, or the entity for which I am responding, and my associates and including corporations, partnerships, trusts, associations and other such groups) who beneficially own more than 5% of any class of the Company’s equity securities are described below: Name of Beneficial Owner Class of Equity Securities Beneficially Owned Holder of Voting or Investment Power.

Appears in 2 contracts

Samples: Registration Rights Agreement (Cell Source, Inc.), Registration Rights Agreement (Cell Source, Inc.)

Securities Holdings. Please fill in all blanks in the following questions related to your beneficial ownership of the Company’s common sharesstock. Generally, the term “beneficial ownership” refers to any direct or indirect interest in the securities which entitles you to any of the rights or benefits of ownership, even though you may not be the holder of record of the securities. For example, securities held in “street name” over which you exercise voting or investment power would be considered beneficially owned by you. Other examples of indirect ownership include ownership by a partnership in which you are a partner or by an estate or trust of which you or any member of your immediate family is a beneficiary. Ownership of securities held in the names of your spouse, minor children or other relatives who live in the same household may be attributed to you. If you have any reason to believe that any interest in securities of the Company which you may have, or the entity for which you are responding may have, however remote, is a beneficial interest, please describe such interest. For purposes of responding to this questionnaire, it is preferable to err on the side of inclusion rather than exclusion. Where the SEC’s interpretation of beneficial ownership would require disclosure of your interest (or the interest of the entity for which you are responding) or possible interest in certain securities of the Company, and you believe that you (or the entity for which you are responding) do not actually possess the attributes of beneficial ownership, an appropriate response is to disclose the interest and, and at the same time, time disclaim beneficial ownership of the securities. Please indicate the amount of common shares stock of the Company or any of its subsidiaries which you (or the entity for which you are responding) beneficially owned as of the date you are signing this questionnairehereof. For each holding: · State the nature of the holding (i.e., held in your own name or in the name of the entity, or any subsidiary or affiliate thereof, for which you are respondingname, jointly, as a trustee or beneficiary of a trust, as a custodian, as an executor, in discretionary accounts, by your spouse or minor children, by a partnership of which you are a partner and, if by a partnership, state the names of the partners of the partnershippartner, etc.), and · State whether you are, or the entity for which you are responding is, the beneficial owner by reason of (i) sole voting power, (ii) shared voting power, (iii) sole investment power, (iv) shared investment power, (v) the right to acquire stock within 60 days of the end of the calendar year, and/or (vi) the right to acquire stock with the purpose of changing or influencing control. · Indicate in the Remarks column whether you, or the entity (or any subsidiary or affiliate thereof) for which you are responding, have sole or shared voting or investment power with respect to any such securities, and in what capacity (i.e., individual, general partner, trustee) you or such entity or entities have such power or powers. · If you wish, or the entity for which you are responding wishes, wish to disclaim beneficial ownership of any shares listed, so indicate by writing the word “Disclaim” in the Remarks column below; and you understand that such shares will be shown separately from your beneficial holdings, or the beneficial holdings of the entity for which you are responding, and an appropriate disclaimer set forth. · If any of the shares listed are subject to any claim, encumbrance, pledge or lien, so indicate in the Remarks column. Number of Shares Registered in the Name of Beneficially Owned by ________ _______________ _______________ ________ _______________ _______________ ________ _______________ _______________ ________ _______________ _______________ ________ _______________ _______________ ________ _______________ _______________ ________ _______________ _______________ 22 Did you, or the entity for which you are responding, acquire the securities listed above in the ordinary course of business? Yes No If not, explain:__________________________________________________________________ _____________________________________________________________________________ At the time of your purchase, or the purchase by the entity for which you are responding, of the securities listed above, did you have any arrangements or understandings, directly or indirectly, with any person to distribute the securities? Yes No If yes, please describe such arrangements or understandings: _______________________________ ______________________________________________________________________________ ______________________________________________________________________________ 23 5% Equity Security holders To the best of my knowledge, all persons (including myself, or the entity for which I am responding, and my associates and including corporations, partnerships, trusts, associations and other such groups) who beneficially own more than 5% of any class of the Company’s equity securities are described below: Name of Beneficial Owner Class of Equity Securities Beneficially Owned Holder of Voting or Investment Power.

Appears in 1 contract

Samples: Registration Rights Agreement (FMC GlobalSat Holdings, Inc.)

Securities Holdings. Please fill in all blanks in the following questions related to your beneficial ownership of the Company’s common shares. Generally, the term “beneficial ownership” refers to any direct or indirect interest in the securities which entitles you to any of the rights or benefits of ownership, even though you may not be the holder of record of the securities. For example, securities held in “street name” over which you exercise voting or investment power would be considered beneficially owned by you. Other examples of indirect ownership include ownership by a partnership in which you are a partner or by an estate or trust of which you or any member of your immediate family is a beneficiary. Ownership of securities held in the names of your spouse, minor children or other relatives who live in the same household may be attributed to you. If you have any reason to believe that any interest in securities of the Company which you may have, or the entity for which you are responding may have, however remote, is a beneficial interest, please describe such interest. For purposes of responding to this questionnaire, it is preferable to err on the side of inclusion rather than exclusion. Where the SEC’s interpretation of beneficial ownership would require disclosure of your interest (or the interest of the entity for which you are responding) or possible interest in certain securities of the Company, and you believe that you (or the entity for which you are responding) do not actually possess the attributes of beneficial ownership, an appropriate response is to disclose the interest and, at the same time, disclaim beneficial ownership of the securities. Please indicate the amount of common shares of the Company or any of its subsidiaries which you (or the entity for which you are responding) beneficially owned as of the date you are signing this questionnaire. For each holding: · State the nature of the holding (i.e., held in your own name or in the name of the entity, or any subsidiary or affiliate thereof, for which you are responding, jointly, as a trustee or beneficiary of a trust, as a custodian, as an executor, in discretionary accounts, by your spouse or minor children, by a partnership of which you are a partner and, if by a partnership, state the names of the partners of the partnership, etc.), and · State whether you are, or the entity for which you are responding is, the beneficial owner by reason of (i) sole voting power, (ii) shared voting power, (iii) sole investment power, (iv) shared investment power, (v) the right to acquire stock within 60 days of the end of the calendar year, and/or (vi) the right to acquire stock with the purpose of changing or influencing control. · Indicate in the Remarks column whether you, or the entity (or any subsidiary or affiliate thereof) for which you are responding, have sole or shared voting or investment power with respect to any such securities, and in what capacity (i.e., individual, general partner, trustee) you or such entity or entities have such power or powers. · If you wish, or the entity for which you are responding wishes, to disclaim beneficial ownership of any shares listed, so indicate by writing the word “Disclaim” in the Remarks column below; and you understand that such shares will be shown separately from your beneficial holdings, or the beneficial holdings of the entity for which you are responding, and an appropriate disclaimer set forth. · If any of the shares listed are subject to any claim, encumbrance, pledge or lien, so indicate in the Remarks column. Number of Shares Registered in the Name of Beneficially Owned by ________ _______________ _______________ ________ _______________ _______________ ________ _______________ _______________ ________ _______________ _______________ ________ _______________ _______________ ________ _______________ _______________ ________ _______________ _______________ 22 Did you, or the entity for which you are responding, acquire the securities listed above in the ordinary course of business? Yes No If not, explain:__________________________________________________________________ _____________________________________________________________________________ At the time of your purchase, or the purchase by the entity for which you are responding, of the securities listed above, did you have any arrangements or understandings, directly or indirectly, with any person to distribute the securities? Yes No If yes, please describe such arrangements or understandings: _______________________________ ______________________________________________________________________________ ______________________________________________________________________________ 23 5% Equity Security holders To the best of my knowledge, all persons (including myself, or the entity for which I am responding, and my associates and including corporations, partnerships, trusts, associations and other such groups) who beneficially own more than 5% of any class of the Company’s equity securities are described below: Name of Beneficial Owner Class of Equity Securities Beneficially Owned Holder of Voting or Investment Power

Appears in 1 contract

Samples: Subscription Agreement (Grace Oliver R Jr)

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Securities Holdings. 1. Please fill in all blanks in the following questions related to your beneficial ownership of the Company’s common sharesstock. Generally, the term “beneficial ownership” refers to any direct or indirect interest in the securities which entitles you to any of the rights or benefits of ownership, even though you may not be the holder of record of the securities. For example, securities held in “street name” over which you exercise voting or investment power would be considered beneficially owned by you. Other examples of indirect ownership include ownership by a partnership in which you are a partner or by an estate or trust of which you or any member of your immediate family is a beneficiary. Ownership of securities held in the names of your spouse, minor children or other relatives who live in the same household may be attributed to you. If you have any reason to believe that any interest in securities of the Company which you may have, or the entity for which you are responding may have, however remote, is a beneficial interest, please describe such interest. For purposes of responding to this questionnaire, it is preferable to err on the side of inclusion rather than exclusion. Where the SEC’s interpretation of beneficial ownership would require disclosure of your you interest (or the interest of the entity for which you are responding) or possible interest in certain securities of the Company, and you believe that you (or the entity for which you are responding) do not actually possess the attributes of beneficial ownership, an appropriate response is to disclose the interest and, and at the same time, time disclaim beneficial ownership of the securities. Please indicate the amount of common shares stock of the Company or any of its subsidiaries which you (or the entity for which you are responding) beneficially owned as of the date you are signing this questionnairehereof. For each holding: · State the nature of the holding (i.e., held in your own name or in the name of the entity, or any subsidiary or affiliate thereof, for which you are respondingname, jointly, as a trustee or beneficiary of a trust, as a custodian, as an executor, in discretionary accounts, by your spouse or minor children, by a partnership of which you are a partner and, if by a partnership, state the names of the partners of the partnershippartner, etc.), and · State whether you are, or the entity for which you are responding is, the beneficial owner by reason of (i) sole voting power, (ii) shared voting power, (iii) sole investment power, (iv) shared investment power, (v) the right to acquire stock within 60 days of the end of the calendar year, and/or (vi) the right to acquire stock with the purpose of changing or influencing control. · Indicate in the Remarks column whether you, or the entity (or any subsidiary or affiliate thereof) for which you are responding, have sole or shared voting or investment power with respect to any such securities, and in what capacity (i.e., individual, general partner, trustee) you or such entity or entities have such power or powers. · If you wish, or the entity for which you are responding wishes, wish to disclaim beneficial ownership of any shares listed, so indicate by writing the word “Disclaim” in the Remarks column below; and you understand that such shares will be shown separately from your beneficial holdings, or the beneficial holdings of the entity for which you are responding, and an appropriate disclaimer set forth. · If any of the shares listed are subject to any claim, encumbrance, pledge or lien, so indicate in the Remarks column. Number of Shares Registered in the Name of Beneficially Owned by ________ _______________ _______________ ________ _______________ _______________ ________ _______________ _______________ ________ _______________ _______________ ________ _______________ _______________ ________ _______________ _______________ ________ _______________ _______________ 22 Did you, or the entity for which you are responding, acquire the securities listed above in the ordinary course of business? Yes No If not, explain:__________________________________________________________________ _____________________________________________________________________________ At the time of your purchase, or the purchase by the entity for which you are responding, of the securities listed above, did you have any arrangements or understandings, directly or indirectly, with any person Remarks Shares Voted Shares to distribute the securities? Yes No If yes, please describe such arrangements or understandings: _______________________________ ______________________________________________________________________________ ______________________________________________________________________________ 23 5% Equity Security holders To the best of my knowledge, all persons (including myself, or the entity for which I am responding, and my associates and including corporations, partnerships, trusts, associations and other such groups) who beneficially own more than 5% of any class of the Company’s equity securities are described below: Name of Beneficial Owner Class of Equity Securities Beneficially Owned Holder of Voting or Investment Powerbe Sold

Appears in 1 contract

Samples: Registration Rights Agreement (Microfield Group Inc)

Securities Holdings. 1. Please fill in all blanks in the following questions related to your beneficial ownership of the Company’s common sharesstock. Generally, the term “beneficial ownership” refers to any direct or indirect interest in the securities which entitles you to any of the rights or benefits of ownership, even though you may not be the holder of record of the securities. For example, securities held in “street name” over which you exercise voting or investment power would be considered beneficially owned by you. Other examples of indirect ownership include ownership by a partnership in which you are a partner or by an estate or trust of which you or any member of your immediate family is a beneficiary. Ownership of securities held in the names of your spouse, minor children or other relatives who live in the same household may be attributed to you. If you have any reason to believe that any interest in securities of the Company which you may have, or the entity for which you are responding may have, however remote, is a beneficial interest, please describe such interest. For purposes of responding to this questionnaire, it is preferable to err on the side of inclusion rather than exclusion. Where the SEC’s interpretation of beneficial ownership would require disclosure of your you interest (or the interest of the entity for which you are responding) or possible interest in certain securities of the Company, and you believe that you (or the entity for which you are responding) do not actually possess the attributes of beneficial ownership, an appropriate response is to disclose the interest and, and at the same time, time disclaim beneficial ownership of the securities. Please indicate the amount of common shares stock of the Company or any of its subsidiaries which you (or the entity for which you are responding) beneficially owned as of the date you are signing this questionnairehereof. For each holding: · State the nature of the holding (i.e., held in your own name or in the name of the entity, or any subsidiary or affiliate thereof, for which you are respondingname, jointly, as a trustee or beneficiary of a trust, as a custodian, as an executor, in discretionary accounts, by your spouse or minor children, by a partnership of which you are a partner and, if by a partnership, state the names of the partners of the partnershippartner, etc.), and · State whether you are, or the entity for which you are responding is, the beneficial owner by reason of (i) sole voting power, (ii) shared voting power, (iii) sole investment power, (iv) shared investment power, (v) the right to acquire stock within 60 days of the end of the calendar year, and/or (vi) the right to acquire stock with the purpose of changing or influencing control. · Indicate in the Remarks column whether you, or the entity (or any subsidiary or affiliate thereof) for which you are responding, have sole or shared voting or investment power with respect to any such securities, and in what capacity (i.e., individual, general partner, trustee) you or such entity or entities have such power or powers. · If you wish, or the entity for which you are responding wishes, wish to disclaim beneficial ownership of any shares listed, so indicate by writing the word “Disclaim” in the Remarks column below; and you understand that such shares will be shown separately from your beneficial holdings, or the beneficial holdings of the entity for which you are responding, and an appropriate disclaimer set forth. · If any of the shares listed are subject to any claim, encumbrance, pledge or lien, so indicate in the Remarks column. Number of Shares Registered in the Name of Beneficially Owned by Remarks Shares Voted Shares to be Sold ________ _______________ _______________ _______________ ________ ________ _______________ _______________ _______________ ________ ________ _______________ _______________ ________ _______________ _______________ ________ _______________ _______________ ________ _______________ _______________ ________ _______________ _______________ 22 Did you, or the entity for which you are responding, acquire the securities listed above in the ordinary course of business? Yes No If not, explain:__________________________________________________________________ _____________________________________________________________________________ At the time of your purchase, or the purchase by the entity for which you are responding, of the securities listed above, did you have any arrangements or understandings, directly or indirectly, with any person to distribute the securities? Yes No If yes, please describe such arrangements or understandings: _______________________________ ______________________________________________________________________________ ______________________________________________________________________________ 23 5% Equity Security holders To the best of my knowledge, all persons (including myself, or the entity for which I am responding, and my associates and including corporations, partnerships, trusts, associations and other such groups) who beneficially own more than 5% of any class of the Company’s equity securities are described below: Name of Beneficial Owner Class of Equity Securities Beneficially Owned Holder of Voting or Investment Power

Appears in 1 contract

Samples: Registration Rights Agreement (Xenomics Inc)

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