Form C - Undertaking - Quarterly Reports - Colorado Department Of Regulatory Agencies Page 3

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2.
The information called for by this item is to be given as to
each transaction or series of related transactions of the size
indicated. The acquisition or disposition of securities shall
be deemed the indirect acquisition or disposition of the
assets represented by such securities if it results in the
acquisition or disposition of control of such assets.
3.
An acquisition or disposition shall be deemed to involve a
significant amount of assets if the Registrant’s and its other
subsidiaries’ equity in the net book value of such assets or
the amount paid or received therefor upon such acquisition
or disposition exceeded 10 percent of the total assets of the
Registrant and its consolidated subsidiaries.
4.
Where assets are acquired or disposed of through the
acquisition or disposition of control of a person, the person
from whom such control was acquired or to whom it was
disposed of shall be deemed the person from whom the
assets were acquired or to who they were disposed of, for
the purposes of this item. Where such control was acquired
from or disposed of to not more than five persons, their
names shall be given; otherwise it will suffice to identify in an
appropriate manner the class of such persons.
Item C.
Bankruptcy or Receivership.
i.
If a receiver, fiscal agent or similar officer has been appointed for a
Registrant or its parent, in a proceeding under the Bankruptcy Act
or in any other proceeding under State or Federal law in which a
court or governmental agency has assumed jurisdiction over
substantially all of the assets or business of the Registrant or its
parent, or if such jurisdiction has been assumed by leaving the
existing directors and officers in possession but subject to the
supervision and orders of a court or governmental body, identify the
proceeding, the court or governmental body, the date jurisdiction
was assumed, the identity of the receiver, fiscal agent or similar
officer and the date of his appointment.
ii.
If an order confirming a plan of reorganization, arrangement or
liquidation has been entered by a court or governmental authority
having supervision or jurisdiction over substantially all of the assets
or business of the Registrant or its parent, furnish the following:
a.
the identity of the court or governmental authority;
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