Form Fis 0564 - Application To Register Securities By Notification (Page 4 of 5) in pdf

Form Fis 0564 - Application To Register Securities By Notification Page 4

7. Give the dates of, parties to, and a concise statement of the general effect of, every management or other material

contract made or to be made otherwise than in the ordinary course of business if it is to be performed in whole or in

part at or after the filing of this registration statement, or was made within the past 2 years

8. Describe any pending litigation or proceeding to which the issuer is a party and which materially affects its business

or assets, including any such litigation or proceeding known to be contemplated by governmental authorities.

9. Submitted herewith as a part of this application are the following documents:

Exhibit No.

Statement demonstrating eligibility for registration by notification (Form C&S 8431)

Exhibit No.

Copy of Underwriting or selling group agreement (or proposed form if terms have not yet been

determined)

Exhibit No.

Copy of each management or other material contract mentioned in answer to Question 7

Exhibit No.

Copy of any prospectus, pamphlet, circular, form letter, advertisement or other sales literature

intended to be used in connection with this offering

Exhibit No.

Consent to Service of Process (1) by applicant and also (2) by issuer if applicant is a broker-

dealer offering securities for the issuer on an agency basis (form U-2)

Exhibit No.

Financial Statement (to be submitted if registration is under Section 302(a)(2) and the conditions

of Section 302(a)(1) are not met):

(a) Balance Sheet of issuer as of a date within 4 months prior to the filing of this registration

statement

(b) Summary of earnings pursuant to certified audit for each of the 2 fiscal years preceding the

date of the Balance Sheet, and, summary of earnings for any period between the close of the

last fiscal year and the date of the balance sheet, or for the period of the issuer's and any

predecessor's existence if less than 2 years.

Form Fis 0564 - Application To Register Securities By Notification Page 4