Securities Act 
Schedule A
1. The
name under which the issuer is doing or intends to do business;
2. the
name of the State or other sovereign power under which the issuer is organized;
3. the
location of the issuer's principal business office, and if the issuer
is a foreign or territorial person, the name and address of its agent
in the United States authorized to receive notice;
4. the
names and addresses of the directors or persons performing similar functions,
and the chief executive, financial and accounting officers, chosen or
to be chosen if the issuer be a corporation, association, trust, or other
entity; of all partners, if the issuer be a partnership; and of the issuer,
if the issuer be an individual; and of the promoters in the case of a
business to be formed, or formed within two years prior to the filing
of the registration statement;
5. the
names and addresses of the underwriters;
6. the
names and addresses of all persons, if any, owning of record or beneficially,
if known, more than 10 per centum of any class of stock of the issuer,
or more than 10 per centum in the aggregate of the outstanding stock of
the issuer as of a date within twenty days prior to the filing of the
registration statement;
7. the
amount of securities of the issuer held by any person specified in paragraphs
(4), (5), and
(6) of this schedule, as of a date within twenty days prior
to the filing of the registration statement, and, if possible, as of one
year prior thereto, and the amount of the securities, for which the registration
statement is filed, to which such persons have indicated their intention
to subscribe;
8. the
general character of the business actually transacted or to be transacted
by the issuer;
9. a statement
of the capitalization of the issuer, including the authorized and outstanding
amounts of its capital stock and the proportion thereof paid up, the number
and classes of shares in which such capital stock is divided, par value
thereof, or if it has no par value, the stated or assigned value thereof,
a description of the respective voting rights, preferences, conversion
and exchange rights, rights to dividends, profits, or capital of each
class, with respect to each other class, including the retirement and
liquidation rights or values thereof;
10. a
statement of the securities, if any, covered by options outstanding or
to be created in connection with the security to be offered, together
with the names and addresses of all persons, if any, to be allotted more
than 10 per centum in the aggregate of such options;
11. the
amount of capital stock of each class issued or included in the shares
of stock to be offered;
12. the
amount of the funded debt outstanding and to be created by the security
to be offered, with a brief description of the date, maturity, and character
of such debt, rate of interest, character of amortization provisions,
and the security, if any, therefor. If substitution of any security is
permissible, a summarized statement of the conditions under which such
substitution is permitted. If substitution is permissible without notice,
a specific statement to that effect;
13. the
specific purposes in detail and the approximate amounts to be devoted
to such purposes, so far as determinable, for which the security to be
offered is to supply funds, and if the funds are to be raised in part
from other sources, the amounts thereof and the sources thereof, shall
be stated;
14. the
remuneration, paid or estimated to be paid, by the issuer or its predecessor,
directly or indirectly, during the past year and ensuing year to (a) the
directors or persons performing similar functions, and (b) its officers
and other persons, naming them wherever such remuneration exceeded $25,000
during any such year;
15. the
estimated net proceeds to be derived from the security to be offered;
16. the
price at which it is proposed that the security shall be offered to the
public or the method by which such price is computed and any variation
therefrom at which any portion of such security is proposed to be offered
to any persons or classes of persons, other than the underwriters, naming
them or specifying the class. A variation in price may be proposed prior
to the date of the public offering of the security, but the Commission
shall immediately be notified of such variation;
17. all
commissions or discounts paid or to be paid, directly or indirectly, by
the issuer to the underwriters in respect of the sale of the security
to be offered. Commissions shall include all cash, securities, contracts,
or anything else of value, paid, to be set aside, disposed of, or understandings
with or for the benefit of any other persons in which any underwriter
is interested, made, in connection with the sale of such security. A commission
paid or to be paid in connection with the sale of such security by a person
in which the issuer has an interest or which is controlled or directed
by, or under common control with, the issuer shall be deemed to have been
paid by the issuer. Where any such commission is paid the amount of such
commission paid to each underwriter shall be stated;
18. the
amount or estimated amounts, itemized in reasonable detail, of expenses,
other than commissions specified in paragraph (17) of this schedule, incurred
or borne by or for the account of the issuer in connection with the sale
of the security to be offered or properly chargeable thereto, including
legal, engineering, certification, authentication, and other charges;
19. the
net proceeds derived from any security sold by the issuer during the two
years preceding the filing of the registration statement, the price at
which such security was offered to the public, and the names of the principal
underwriters of such security;
20. any
amount paid within two years preceding the filing of the registration
statement or intended to be paid to any promoter and the consideration
for any such payment;
21. the
names and addresses of the vendors and the purchase price of any property,
or good will, acquired or to be acquired, not in the ordinary course of
business, which is to be defrayed in whole or in part from the proceeds
of the security to be offered, the amount of any commission payable to
any person in connection with such acquisition, and the name or names
of such person or persons, together with any expense incurred or to be
incurred in connection with such acquisition, including the cost of borrowing
money to finance such acquisition;
22. full
particulars of the nature and extent of the interest, if any, of every
director, principal executive officer, and of every stockholder holding
more than 10 per centum of any class of stock or more than 10 per centum
in the aggregate of the stock of the issuer, in any property acquired,
not in the ordinary course of business of the issuer, within two years
preceding the filing of the registration statement or proposed to be acquired
at such date;
23. the
names and addresses of counsel who have passed on the legality of the
issue;
24. dates
of and parties to, and the general effect concisely stated of every material
contract made, not in the ordinary course of business, which contract
is to be executed in whole or in part at or after the filing of the registration
statement or which contract has been made not more than two years before
such filing. Any management contract or contract providing for special
bonuses or profit-sharing arrangements, and every material patent or contract
for a material patent right, and every contract by or with a public utility
company or an affiliate thereof, providing for the giving or receiving
of technical or financial advice or service (if such contract may involve
a charge to any party thereto at a rate in excess of $2,500 per year in
cash or securities or anything else of value), shall be deemed a material
contract;
25. a
balance sheet as of a date not more than ninety days prior to the date
of the filing of the registration statement showing all of the assets
of the issuer, the nature and cost thereof, whenever determinable, in
such detail and in such form as the Commission shall prescribe (with intangible
items segregated), including any loan in excess of $20,000 to any officer,
director, stockholder or person directly or indirectly controlling or
controlled by the issuer, or person under direct or indirect common control
with the issuer. All the liabilities of the issuer in such detail and
such form as the Commission shall prescribe, including surplus of the
issuer showing how and from what sources such surplus was created, all
as of a date not more than ninety days prior to the filing of the registration
statement. If such statement be not certified by an independent public
or certified accountant, in addition to the balance sheet required to
be submitted under this schedule, a similar detailed balance sheet of
the assets and liabilities of the issuer, certified by an independent
public or certified accountant, of a date not more than one year prior
to the filing of the registration statement, shall be submitted;
26. a
profit and loss statement of the issuer showing earnings and income, the
nature and source thereof, and the expenses and fixed charges in such
detail and such form as the Commission shall prescribe for the latest
fiscal year for which such statement is available and for the two preceding
fiscal years, year by year, or, if such issuer has been in actual business
for less than three years, then for such time as the issuer has been in
actual business, year by year. If the date of the filing of the registration
statement is more than six months after the close of the last fiscal year,
a statement from such closing date to the latest practicable date. Such
statement shall show what the practice of the issuer has been during the
three years or lesser period as to the character of the charges, dividends
or other distributions made against its various surplus accounts, and
as to depreciation, depletion, and maintenance charges, in such detail
and form as the Commission shall prescribe, and if stock dividends or
avails from the sale of rights have been credited to income, they shall
be shown separately with a statement of the basis upon which the credit
is computed. Such statement shall also differentiate between any recurring
and nonrecurring income and between any investment and operating income.
Such statement shall be certified by an independent public or certified
accountant;
27. if
the proceeds, or any part of the proceeds, of the security to be issued
is to be applied directly or indirectly to the purchase of any business,
a profit and loss statement of such business certified by an independent
public or certified accountant, meeting the requirements of
paragraph
(26) of this schedule, for the three preceding fiscal years, together
with a balance sheet, similarly certified, of such business, meeting the
requirements of paragraph (25) of this schedule of a date not more than
ninety days prior to the filing of the registration statement or at the
date such business was acquired by the issuer if the business was acquired
by the issuer more than ninety days prior to the filing of the registration
statement;
28. a
copy of any agreement or agreements (or, if identical agreements are used,
the forms thereof) made with any underwriter, including all contracts
and agreements referred to in paragraph (17) of this
schedule;
29. a
copy of the opinion or opinions of counsel in respect to the legality
of the issue, with a translation of such opinion, when necessary, into
the English language;
30. a
copy of all material contracts referred to in paragraph (24) of this schedule,
but no disclosure shall be required of any portion of any such contract
if the Commission determines that disclosure of such portion would impair
the value of the contract and would not be necessary for the protection
of the investors;
31. unless
previously filed and registered under the provisions of this title, and
brought up to date, (a) a copy of its articles of incorporation, with
all amendments thereof and of its existing bylaws or instruments corresponding
thereto, whatever the name, if the issuer be a corporation; (b) copy of
all instruments by which the trust is created or declared, if the issuer
is a trust; (c) a copy of its articles of partnership or association and
all other papers pertaining to its organization, if the issuer is a partnership,
unincorporated association, joint-stock company, or any other form of
organization; and
32. a
copy of the underlying agreements or indentures affecting any stock, bonds,
or debentures offered or to be offered.
In case of certificates of deposit, voting trust certificates, collateral
trust certificates, certificates of interest or shares in unincorporated
investment trusts, equipment trust certificates, interim or other receipts
for certificates, and like securities, the Commission shall establish
rules and regulations requiring the submission of information of a like
character applicable to such cases, together with such other information
as it may deem appropriate and necessary regarding the character, financial
or otherwise, of the actual issuer of the securities and/or the person
performing the acts and assuming the duties of depositor or manager.
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May 27, 1933, ch 38, Title I, Schedules
A, B, 48 Stat. 88; Nov. 3, 1998, P.L. 105-353, Title III, § 301(a)(6), 112
Stat. 3235 |
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