Current through Register 2024 Notice Reg. No. 38, September 20, 2024
(a) In this section, "subject person," when
used with respect to the applicant, means:
(1)
Any individual who controls or is proposed to control the applicant;
or
(2) Any person (other than an
individual) which controls or is proposed to control the applicant or which
otherwise is or is proposed to be an affiliate of the applicant (including, in
case such person consists of a group of persons acting in concert, each person
who is a member of such group).
(b) State whether or not there is any subject
person of the applicant, and, if so, provide a table showing, with respect to
each subject person of the applicant:
(1)
Name.
(2) Type of person (that is,
individual, corporation, partnership, etc.).
(3) Relationship to the
applicant.
(c) With
respect to each subject person named in the table called for in subdivision (b)
of this section who is an individual and who is neither a director nor an
officer of the applicant:
(1) State:
(A) Name.
(B) Business address.
(C) Home address.
(D) Business or occupation.
(E) Amount and types of securities of the
applicant which the subject person owns, or proposes to own, directly or
indirectly, of record or beneficially.
(2) Provide a personal financial statement in
the form of Department Form 2, containing the information called for therein,
dated as of a date within 90 days before the filing of the application, and
signed by the subject person.
(3)
Provide a confidential resume in the form of Department Form 3, containing the
information called for therein, dated as of a date within 90 days before the
filing of the application, and signed by the subject person.
(4) Provide a statement dated as of a date
within 90 days before the filing of the application and signed by the subject
person, stating:
(A) Amount and types of
securities of the applicant which the subject person owns or proposes to own,
directly or indirectly, of record or beneficially, and, if the purchase of any
such securities was financed or is proposed to be financed, the amount financed
or proposed to be financed, the person from whom the subject person obtained or
proposes to obtain such financing, and the source of funds with which the
subject person proposes to repay financing.
(B) Business experience of the subject
person, including, with respect to each position held, title, description of
duties, name and address of employer, period of employment, and reason for
leaving.
(d)
With respect to each subject person named in the table called for in
subdivision (b) of this section which is a corporation:
(1) State:
(A) Name.
(B) Address of principal executive
office.
(C) Description of
business.
(D) Amount and types of
securities of the applicant which the subject person owns or proposes to own,
directly or indirectly, of record or beneficially.
(2) Provide a table showing, with respect to
each director, executive officer, and person who owns, directly or indirectly,
of record or beneficially, five percent equity security owner of the subject
person:
(A) Name.
(B) Relationship to the subject
person.
(3) Provide the
following financial statements of the subject person:
(A) Balance sheet as of a date within 120
days before the filing of the application.
(B) If the balance sheet called for in
subparagraph (A) of this paragraph (3) is not as of the end of a fiscal year of
the subject person, a balance sheet as of the end of the fiscal year of the
subject person next preceding the date of such balance sheet.
(C) Statement of income, statement of cash
flows, and statement of shareholders' equity for each of the three fiscal years
of the subject person next preceding the date of the balance sheet called for
in subparagraph (A) of this paragraph (3) and, if such balance sheet is not as
of the end of a fiscal year of the subject person, a statement of income, a
statement of cash flows, and a statement of shareholders' equity for the
interim period from the date of the balance sheet called for in subparagraph
(B) of this paragraph (3) to the date of the balance sheet called for in
subparagraph (A) of this paragraph (3).
(4) Provide a copy of each of the last three
annual reports of the subject person to its shareholders and a copy of any
interim report of the subject person to its shareholders issued since the last
annual report.
(5) In case the
subject person is required to file reports pursuant to section
13 of the Securities Exchange Act
of 1934 (15 U.S.C. section
78m), provide a copy of each of the last
three such annual reports of the subject person and a copy of each quarterly or
current report of the subject person filed since the last annual
report.
(6) Provide a statement
dated as of a date within 90 days before the filing of the application and
signed by an officer of the subject person, stating the amount and types of
securities of the applicant which the subject person owns, or proposes to own,
directly or indirectly, of record or beneficially, and, if the purchase of any
such securities was financed or is proposed to be financed, the amount financed
or proposed to be financed, the person from whom the subject person obtained or
proposes to obtain such financing, and the source of funds with which the
subject person proposes to repay the financing.
(e) With respect to each subject person named
in the table called for in subdivision (b) of this section which is neither an
individual nor a corporation, provide information comparable to the information
called for in subdivision (d) of this section.
(f)
(1) In
the case of a subject person who controls or is proposed to control the
applicant, describe the extent to which and the manner in which the subject
person controls or proposes to control the applicant.
(2) In all cases, state whether or not the
subject person participates or proposes to participate in the management or
operations of the applicant, and, if so, describe such
participation.
1. Change
without regulatory effect amending subsections (b), (d)(2), (d)(2)(B) and
(d)(2)(C) filed 7-2-91 pursuant to section
100, title 1, California Code of
Regulations (Register 91, No. 40).
2. Amendment of subsection
(d)(3)(C) filed 4-7-97; operative 4-7-97 pursuant to Government Code section
11343.4(d)
(Register 97, No. 15).
Note: Authority cited: Section
31101,
Financial Code. Reference: Section
31107,
Financial Code.
