Form 14414 - Group Rulings Questionnaire Page 5

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Page 5 of 12
37. Do you communicate with your subordinates through your website
Yes
No
Don’t know
38. Do you communicate with your subordinates through means other than those described in this Part III
Yes
No
a. If "yes” to question 38, describe the other means through which you communicate with your subordinates
Part IV - Relationship with Your Subordinates
39. Do you elect or appoint (or have the right to elect or appoint) one or more of the directors, trustees or officers of all or some of your
subordinates
Yes
Yes
Yes
(all subordinates)
(more than half of the subordinates)
(half or fewer of the subordinates)
No
Don't know
40. Do you have one or more overlapping directors, trustees or officers with all or some of your subordinates
Yes
Yes
Yes
(all subordinates)
(more than half of the subordinates)
(half or fewer of the subordinates)
No
Don't know
41. Do one or more of your subordinates elect, nominate or appoint (or have the right to elect, nominate or appoint) one or more of your
directors, trustees or officers
Yes
Yes
Yes
(all subordinates)
(more than half of the subordinates)
(half or fewer of the subordinates)
No
Don't know
42. Do any of your subordinates compensate their directors, trustees or officers
Yes
Yes
Yes
(all subordinates)
(more than half of the subordinates)
(half or fewer of the subordinates)
No
Don't know
a. If “yes” to question 42, what involvement, if any, do you have in the compensation process? Check all that apply
Approve compensation of subordinates’ directors, trustees or officers
Require subordinates to adopt a policy for determining reasonable compensation
Require subordinates to provide documentation showing basis for compensation
Review compensation information on Form 990/990-EZ or reports provided by subordinates
Do not take any action to ensure reasonableness of compensation
Don’t know
Other (describe)
43. Do you approve or have veto power over the following decisions of all or some of your subordinates? Check one box for each row
Yes
Yes
Yes
(all
(more than half
(half or fewer of
Decision
No
Don't Know
subordinates)
of the subordinates)
the subordinates)
Changes to Organizing Documents
Appointment/Removal of Directors
Compensation of Directors, Trustees, Officers
Sale of Substantial Assets
Termination
14414
Catalog Number 59845N
Form
(Rev. 10-2012)

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Parent category: Financial