2019MCNo15 1-BO
2019MCNo15 1-BO
2019MCNo15 1-BO
ANNEX "B"
FOR THE YEAR
STOCK CORPORATION
GENERAL INSTRUCTIONS:
1. FOR USER CORPORATION: THIS GIS SHOULD BE SUBMITTED WITHIN THIRTY (30) CALENDAR DAYS FROM THE DATE OF THE ANNUAL
STOCKHOLDERS' MEETING. DO NOT LEAVE ANY ITEM BLANK. WRITE "N.A." IF THE INFORMATION REQUIRED IS NOT APPLICABLE TO THE
CORPORATION OR "NONE" IF THE INFORMATION IS NON-EXISTENT. IF THE ANNUAL STOCKHOLDERS' MEETING IS HELD ON A DATE OTHER THAN
THAT STATED IN THE BY-LAWS, THE GIS SHALL BE SUBMITTED WITHIN THIRTY (30) CALENDAR DAYS AFTER THE ELECTION OF THE DIRECTORS,
TRUSTEES AND OFFICERS OF THE CORPORATION AT THE ANNUAL MEMBERS' MEETING.
2. IF NO MEETING IS HELD, THE CORPORATION SHALL SUBMIT THE GIS NOT LATER THAN JANUARY 30 OF THE FOLLOWING YEAR. HOWEVER, SHOULD
AN ANNUAL STOCKHOLDERS' MEETING BE HELD THEREAFTER, A NEW GIS SHALL BE SUBMITTED/FILED.
3. THIS GIS SHALL BE ACCOMPLISHED IN ENGLISH AND CERTIFIED AND SWORN TO BY THE CORPORATE SECRETARY OF THE CORPORATION.
4. THE SEC SHOULD BE TIMELY APPRISED OF RELEVANT CHANGES IN THE SUBMITTED INFORMATION AS THEY ARISE. FOR CHANGES RESULTING FROM
ACTIONS THAT AROSE BETWEEN THE ANNUAL MEETINGS, THE CORPORATION SHALL SUBMIT AMENDED GIS CONTAINING THE NEW INFORMATION
TOGETHER WITH A COVER LETTER SIGNED THE CORPORATE SECRETARY OF THE CORPORATION. THE AMENDED GIS AND COVER LETTER SHALL BE
SUBMITTED WITHIN SEVEN (7) DAYS AFTER SUCH CHANGE OCCURED OR BECAME EFFECTIVE.
5. SUBMIT FOUR (4) COPIES OF THE GIS TO THE RECEIVING SECTION AT THE SEC MAIN OFFICE, OR TO SEC SATELLITE OFFICES OR EXTENSION OFFICES.
ALL COPIES SHALL UNIFORMLY BE ON A4 OR LETTER-SIZED PAPER. THE PAGES OF ALL COPIES SHALL USE ONLY ONE SIDE
6. ONLY THE GIS ACCOMPLISHED IN ACCORDANCE WITH THESE INSTRUCTIONS SHALL BE CONSIDERED AS HAVING BEEN FILED.
7. THIS GIS MAY BE USED AS EVIDENCE AGAINST THE CORPORATION AND ITS RESPONSIBLE DIRECTORS/OFFICERS FOR ANY VIOLATION OF EXISTING
LAWS, RULES AND REGULATIONS
================================ PLEASE PRINT LEGIBLY =====================================
BUSINESS/TRADE NAME:
FISCAL YEAR END:
NAME OF EXTERNAL AUDITOR & ITS SIGNING PARTNER: SEC ACCREDITATION NUMBER (if applicable): TELEPHONE NUMBER(S):
GIS_STOCK(v.2019) Page 1
GENERAL INFORMATION SHEET
STOCK CORPORATION
================================ PLEASE PRINT LEGIBLY ================================
Corporate Name:
A. Is the Corporation a covered person under the Anti Money Laundering Act
(AMLA), as amended? (Rep. Acts. 9160/9164/10167/10365)
Please check the appropriate box:
1.
a. Banks
Jewelry dealers in precious metals, who, as a
b. Offshore Banking Units 4.
business, trade in precious metals
c. Quasi-Banks
d. Trust Entities
e. Non-Stock Savings and Loan Associations
f. Pawnshops
g. Foreign Exchage Dealers Jewelry dealers in precious stones, who, as a
5.
h. Money Changers business, trade in precious stone
i. Remittance Agents
j. Electronic Money Issuers
k. Financial Institutions which Under Special Laws are subject to
Bangko Sentral ng Pilipinas' (BSP) supervision and/or regulation, Company service providers which, as a business,
including their subsidiaries and affiliates. 6. provide any of the following services to third
2. parties:
a. Insurance Companies
b. Insurance Agents a. acting as a formation agent of juridical persons
c. Insurance Brokers b. acting as (or arranging for another person to act as)
d. Professional Reinsurers a director or corporate secretary of a company, a
e. Reinsurance Brokers partner of a partnership, or a similar position in
f. Holding Companies relation to other juridical persons
g. Holding Company Systems
h. Pre-need Companies c. providing a registered office, business address or
i. Mutual Benefit Association accommodation, correspondence or administrative
j. All Other Persons and entities supervised and/or regulated by the address for a company, a partnership or any other
Insurance Commission (IC) legal person or arrangement
3.
a. Securities Dealers d. acting as (or arranging for another person to act as)
b. Securities Brokers a nominee shareholder for another person
c. Securities Salesman Persons who provide any of the following services:
7.
d.Investment Houses a. managing of client money, securities or other assets
e.Investment Agents and Consultants
f.Trading Advisors b. management of bank, savings or securities accounts
g.Other entities managing Securities or rendering similar services
h.Mutual Funds or Open-end Investment Companies c. organization of contributions for the creation,
Close-end Investment Companies
i. operation or management of companies
Common Trust Funds or Issuers and other similar entities
j.
k.Transfer Companies and other similar entities d. creation, operation or management of juridical
Other entities administering or otherwise dealing in currency,
l. persons or arrangements, and buying and selling
commodities or financial derivatives based there on business entities
m. Entities administering of otherwise dealing in valuable objects 8. None of the above
n. Entities administering or otherwise dealing in cash Substitutes and Describe
other similar monetary instruments or property supervised and/or nature of
regulated by the Securities and Exchange Commission (SEC) business:
B. Has the Corporation complied with the requirements on Customer Due Diligence
(CDD) or Know Your Customer (KYC), record-keeping, and submission of reports
under the AMLA, as amended, since the last filing of its GIS?
GIS_STOCK(v.2019) Page 2
GENERAL INFORMATION SHEET
STOCK CORPORATION
==================================== PLEASE PRINT LEGIBLY ==================================
CORPORATE NAME:
CAPITAL STRUCTURE
AUTHORIZED CAPITAL STOCK
TOTAL TOTAL P
SUBSCRIBED CAPITAL
NUMBER OF
NO. OF
NUMBER OF SHARES IN THE PAR/STATED % OF
FILIPINO STOCK- TYPE OF SHARES * AMOUNT (PhP)
SHARES HANDS OF THE VALUE OWNERSHIP
HOLDERS
PUBLIC **
NUMBER OF
FOREIGN NO. OF
NUMBER OF SHARES IN THE PAR/STATED % OF
(INDICATE BY STOCK- TYPE OF SHARES * AMOUNT (PhP)
SHARES HANDS OF THE VALUE OWNERSHIP
NATIONALITY) HOLDERS
PUBLIC **
TOTAL TOTAL P
FOREIGN NO. OF
NUMBER OF % OF
(INDICATE BY STOCK- TYPE OF SHARES * PAR/STATED VALUE AMOUNT (PhP)
SHARES OWNERSHIP
NATIONALITY) HOLDERS
TOTAL TOTAL P
TOTAL PAID-UP P
DIRECTORS / OFFICERS
STOCK EXEC. TAX IDENTIFICATION
NAME/CURRENT RESIDENTIAL ADDRESS NATIONALITY INC'R BOARD GENDER OFFICER
HOLDER COMM. NUMBER
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
12.
13.
14.
15.
INSTRUCTION:
FOR SEX COLUMN, PUT "F" FOR FEMALE, "M" FOR MALE.
FOR BOARD COLUMN, PUT "C" FOR CHAIRMAN, "M" FOR MEMBER, "I" FOR INDEPENDENT DIRECTOR.
FOR INC'R COLUMN, PUT "Y" IF AN INCORPORATOR, "N" IF NOT.
FOR STOCKHOLDER COLUMN, PUT "Y" IF A STOCKHOLDER, "N" IF NOT.
FOR OFFICER COLUMN, INDICATE PARTICULAR POSITION IF AN OFFICER, FROM VP UP INCLUDING THE POSITION OF THE TREASURER,
SECRETARY, COMPLIANCE OFFICER AND/OR ASSOCIATED PERSON.
FOR EXECUTIVE COMMITTEE, INDICATE "C" IF MEMBER OF THE COMPENSATION COMMITTEE; "A" FOR AUDIT COMMITTEE; "N" FOR NOMINATION
AND ELECTION COMMITTEE. ADDITIONALLY WRITE "C" AFTER SLASH IF CHAIRMAN AND "M" IF MEMBER.
TOTAL NUMBER OF STOCKHOLDERS: NO. OF STOCKHOLDERS WITH 100 OR MORE SHARES EACH:
STOCKHOLDER'S INFORMATION
SHARES SUBSCRIBED
AMOUNT
NAME, NATIONALITY AND CURRENT % OF TAX IDENTIFICATION
AMOUNT PAID
RESIDENTIAL ADDRESS TYPE NUMBER OWNER- NUMBER
(PhP) (PhP)
SHIP
1
TOTAL
2.
TOTAL
3.
TOTAL
4.
TOTAL
5.
TOTAL
6.
TOTAL
7.
TOTAL
INSTRUCTION: SPECIFY THE TOP 20 STOCKHOLDERS AND INDICATE THE REST AS OTHERS
Note: For PDTC Nominee included in the list, please indicate further the beneficial owners owning more than 5% of any class of the company's voting
securities. Attach separate sheet, if necessary.
TOTAL NUMBER OF STOCKHOLDERS: NO. OF STOCKHOLDERS WITH 100 OR MORE SHARES EACH:
STOCKHOLDER'S INFORMATION
SHARES SUBSCRIBED
TAX
NAME, NATIONALITY AND CURRENT AMOUNT PAID
AMOUNT % OF OWNER- IDENTIFCATION
RESIDENTIAL ADDRESS TYPE NUMBER (PhP)
(PhP) SHIP NUMBER
8.
TOTAL
9.
TOTAL
10.
TOTAL
11.
TOTAL
12.
TOTAL
13.
TOTAL
14.
TOTAL
INSTRUCTION: SPECIFY THE TOP 20 STOCKHOLDERS AND INDICATE THE REST AS OTHERS
Note: For PDTC Nominee included in the list, please indicate further the beneficial owners owning more than 5% of any class of the company's voting securities. Attach
separate sheet, if necessary.
CORPORATE NAME:
TOTAL NUMBER OF STOCKHOLDERS: NO. OF STOCKHOLDERS WITH 100 OR MORE SHARES EACH:
STOCKHOLDER'S INFORMATION
SHARES SUBSCRIBED
NAME, NATIONALITY AND CURRENT % OF
AMOUNT PAID TAX IDENTIFICATION
RESIDENTIAL ADDRESS AMOUNT (PhP) NUMBER
TYPE NUMBER OWNER-
(PhP) SHIP
15.
TOTAL
16.
TOTAL
17.
TOTAL
18.
TOTAL
19.
TOTAL
20.
TOTAL
TOTAL
INSTRUCTION: SPECIFY THE TOP 20 STOCKHOLDERS AND INDICATE THE REST AS OTHERS
Note: For PDTC Nominee included in the list, please indicate further the beneficial owners owning more than 5% of any class of the company's voting securities. Attach
separate sheet, if necessary.
1.5 OTHERS
3. TREASURY SHARES
% AS TO THE TOTAL
NO. OF SHARES
NO. OF SHARES ISSUED
5.1 CASH
5.2 STOCK
5.3 PROPERTY
TOTAL P
6. ADDITIONAL SHARES ISSUED DURING THE PERIOD:
DATE NO. OF SHARES AMOUNT
DATE STARTED
OPERATIONS:
TOTAL ANNUAL COMPENSATION OF
TOTAL NO. OF RANK & TOTAL MANPOWER
DIRECTORS DURING THE PRECEDING FISCAL TOTAL NO. OF OFFICERS
FILE EMPLOYEES COMPLEMENT
YEAR (in PhP)
I hereby attest that all the information in this GIS are being submitted in compliance with the rules and
regulations of the Securities and Exchange Commission (SEC) the collection, processing, storage and sharing
of said information being necessary to carry out the functions of public authority for the performance of the
constitutionally and statutorily mandated functions of the SEC as a regulatory agency.
I further attest that I have been authorized by the Board of Directors/Trustees to file this GIS with the SEC.
I understand that the Commission may place the corporation under delinquent status for failure to submit
the reportorial requirements three (3) times, consecutively or intermittently, within a period of five (5)
years (Section 177, RA No. 11232 ).
NOTARY PUBLIC
GIS_STOCK(V.2019) Page9
BENEFICIAL OWNERSHIP DECLARATION
Instructions:
1. Identify the Beneficial Owner/s of the corporation as described in the Categories of Beneficial Ownership in items A
to I below. List down as many as you can identify. You may use an additional sheet if necessary.
2. Fill in the required information on the beneficial owner in the fields provided for.
3. In the “Category of Beneficial Ownership” column, indicate the letter(s) corresponding thereto. In the event that
the person identified as beneficial owner falls under several categories, indicate all the letters corresponding to
such categories.
4. If the category is under letter “I”, indicate the position held (i.e., Director/Trustee, President, Chief Executive
Officer, Chief Operating Officer, Chief Financial Officer, etc.).
5. Do not leave any item blank. Write “N/A” if the information required is not applicable or “NONE” if non-existent.
“Beneficial Owner” refers to any natural person(s) who ultimately own(s) or control(s) or exercise(s) ultimate effective
control over the corporation. This defination covers the natural person(s) who actualy own or control the corporation as
destinguished from the legal owners. Such beneficial ownership may be determined on the basis of the following:
Category Description
A Natural person(s) owning, directly or indirectly or through a chain of ownership, at least twenty-five percent
(25%) of the voting rights, voting shares or capital of the reporting corporation.
Natural person(s) who exercise control over the reporting corporation, alone or together with others, through any
B contract, understanding, relationship, intermediary or tiered entity.
C Natural person(s) having the ability to elect a majority of the board of directors/trustees, or any similar body, of
the corporation.
D Natural person(s) having the ability to exert a dominant influence over the management or policies of the
corporation.
E Natural person(s) whose directions, instructions,or wishes in conducting the affairs of the corporation are carried
out by majority of the members of the board of directors of such corporation who are accustomed or under an
obligation to act in accordance with such person's directions, instructions or wishes.
F Natural person(s) acting as stewards of the properties of corporations, where such properties are under the care
or administration of said natural person(s).
G Natural person(s) who actually own or control the reporting corporation through nominee shareholders or
nominee directors acting for or on behalf of such natural persons.
H Natural person(s) ultimately owning or controlling or exercising ultimate effective control over the corporation
through other means not falling under any of the foregoing categories.
I Natural person(s) exercising control through positions held within a corporation (i.e., responsible for strategic
decisions that fundamentally affect the business practices or general direction of the corporation such as the
members of the board of directors or trustees or simlar body within the corporation; or exercising executive
control over the daily or regular affairs of the corporation through a senior mangement position). This category is
only applicable in exceptional cases where no natural person is identifiable who ultimately owns or exerts control
over the corporation, the reporting corporation having exhausted all reasonable means of identification and
provided there are no grounds for suspicion.
TYPE OF
COMPLETE NAME % OF BENEFICIAL
(Surname, Given SPECIFIC TAX CATEGORY OF
DATE OF OWNERSHIP1 / OWNER3
Name, Middle Name, RESIDENTIAL NATIONALITY IDENTIFICATION BENEFICIAL
BIRTH
NO.
% OF VOTING
Name Extension (i.e., ADDRESS OWNERSHIP
Jr., Sr., III) RIGHTS2 Direct (D) or
Indirect (I)
1
For Stock Corporattions.
2
For Non-Stock Corporattions.
3
For Stock Corporattions.
GENERAL INFORMATION SHEET (GIS) ANNEX "C"
NON-STOCK CORPORATION
FOR THE YEAR _______________________
GENERAL INSTRUCTIONS:
1. FOR USER CORPORATION: THIS GIS SHALL BE SUBMITTED WITHIN THIRTY (30) CALENDAR DAYS FROM THE DATE OF THE ANNUAL MEMBERS'
MEETING AS STATED IN THE BY-LAWS. DO NOT LEAVE ANY ITEM BLANK. WRITE "N.A." IF THE INFORMATION REQUIRED IS NOT APPLICABLE TO THE
CORPORATION OR "NONE" IF THE INFORMATION IS NON-EXISTENT.IF THE ANNUAL MEMBERS' MEETING IS HELD ON A DATE OTHER THAT STATED IN
THE BY-LAWS, THE GIS SHALL BE SUBMITTED WITHIN THIRTY (30) CALENDAR DAYS AFTER THE ELECTION OF THE DIRECTORS, TRUSTEES AND
OFFICERS OF THE CORPORATION AT THE ANNUAL MEMBERS' MEETING.
2. IF NO MEETING IS HELD, THE CORPORATION SHALL SUBMIT THE GIS NOT LATER THAN JANUARY 30 OF THE FOLLOWING YEAR. HOWEVER, SHOULD
AN ANNUAL MEMBERS' MEETING BE HELD THEREAFTER, A NEW GIS SHALL BE SUBMITTED/FILED.
3. THIS GIS SHALL BE ACCOMPLISHED IN ENGLISH AND CERTIFIED AND SWORN TO BY THE CORPORATE SECRETARY OF THE CORPORATION.
4. ALL CHANGES ARISING BETWEEN ANNUAL MEETINGS AND AFFECTING THE INFORMATION STATED IN THE GIS, SUCH AS THE DEATH, RESIGNATION OR
CESSATION OF HOLDING OF OFFICE OF A DIRECTOR, TRUSTEE, OR OFFICER, SHALL BE REFLECTED IN AN AMENDED GIS LABELED AS SUCH AND THE
CHANGES CLEARLY HIGHLIGHTED. THE AMENDED GIS SHALL BE SUBMITTED WITHIN SEVEN [7] DAYS AFTER SUCH CHANGES OCCURRED OR BECAME
EFFECTIVE.
5. SUBMIT FOUR (4) COPIES OF THE GIS TO THE RECEIVING SECTION AT THE SEC MAIN OFFICE, OR TO SEC SATELLITE OFFICES OR EXTENSION OFFICES.
ALL COPIES SHALL UNIFORMLY BE ON A4 OR LETTER-SIZED PAPER. THE PAGES OF ALL COPIES SHALL USE ONLY ONE SIDE.
6. ONLY THE GIS ACCOMPLISHED IN ACCORDANCE WITH THESE INSTRUCTIONS SHALL BE CONSIDERED AS COMPLIANT WITH EXISTING RULES AND
REGULATIONS.
7. THIS GIS MAY BE USED AS EVIDENCE AGAINST THE CORPORATION AND ITS RESPONSIBLE DIRECTORS/TRUSTEES/OFFICERS FOR ANY VIOLATION OF
EXISTING LAWS, RULES AND REGULATIONS
================================ PLEASE PRINT LEGIBLY =====================================
CORPORATE NAME: DATE REGISTERED:
PRIMARY PURPOSE
ENGAGED IN:
NAME OF EXTERNAL
SEC ACCREDITATION TELEPHONE
AUDITOR & SIGNING
NUMBER: NUMBER(S):
PARTNER:
h. Mutual Funds or Open-end Investment Companies c. organization of contributions for the creation,
i. Close-end Investment Companies operation or management of companies
j.Common Trust Funds or Issuers and other similar entities
k. Transfer Companies and other similar entities d. creation, operation or management of juridical persons
l. Other entities administering or otherwise dealing in currency, or arrangements, and buying and selling business
commodities or financial derivatives based there on entities
m. Entities administering of otherwise dealing in valuable objects
8. None of the above
n. Entities administering or otherwise dealing in cash Substitutes
Describe
and other similar monetary instruments or property supervised
nature of
and/or regulated by the Securities and Exchange Commission
business:
(SEC)
B. Has the Corporation complied with the requirements on Customer Due Diligence
(CDD) or Know Your Customer (KYC), record-keeping, and submission of reports
under the AMLA, as amended, since the last filing of its GIS?
TAX IDENTIFICATION
NAME AND CURRENT RESIDENTIAL ADDRESS NATIONALITY INCORPORATOR BOARD SEX OFFICER
NUMBER
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
12.
13.
14.
15.
INSTRUCTIONS:
FOR SEX COLUMN, PUT "F" FOR FEMALE,"M" FOR MALE.
FOR INCORPORATOR COLUMN, PUT "Y" IF AN INCORPORATOR, "N" IF NOT.
FOR BOARD COLUMN, PUT "C" FOR CHAIRMAN, "M" FOR MEMBER.
FOR OFFICER COLUMN, INDICATE PARTICULAR POSITION IF AN OFFICER, SUCH AS:
PRE-PRESIDENT CEO - CHIEF EXEC. OFFICER CFO - TREASURER
COO - CHIEF OPERATING OFFICER COS - CORPORATE SECRETARY LEG - LEGAL COUNSEL
AUD - EXTERNAL AUDITOR GOV - GOVERNMENT REPRESENTATIVE OTR - OTHERS N - NONE
1. INTERCOMPANY AFFILIATIONS
PARENT COMPANY SEC REG. NO. ADDRESS
2.5 OTHERS
3. INVESTMENT OF CORPORATE FUNDS IN ACTIVITIES UNDER ITS DATE OF BOARD RESOLUTION DATE OF MEMBERS'
SECONDARY PURPOSES (PLEASE SPECIFY:) RATIFICATION
3.1
3.2
3.3
3.4
3.5
I hereby attest that all the information in this GIS are being submitted in compliance with the rules and
regulations of the Securities and Exchange Commission (SEC) the collection, processing, storage and sharing
of said information being necessary to carry out the functions of public authority for the performance of the
constitutionally and statutorily mandated functions of the SEC as a regulatory agency.
I further attest that I have been authorized by the Board of Directors/Trustees to file this GIS with the SEC.
I understand that the Commission may place the corporation under delinquent status for failure to submit
the reportorial requirements three (3) times, consecutively or intermittently, within a period of five (5)
years (Section 177, RA No. 11232 ).
NOTARY PUBLIC
GIS-NON-STOCK(V.2019) Page5
BENEFICIAL OWNERSHIP DECLARATION
Instructions:
1. Identify the Beneficial Owner/s of the corporation as described in the Categories of Beneficial Ownership in items A
to I below. List down as many as you can identify. You may use an additional sheet if necessary.
2. Fill in the required information on the beneficial owner in the fields provided for.
3. In the “Category of Beneficial Ownership” column, indicate the letter(s) corresponding thereto. In the event that the
person identified as beneficial owner falls under several categories, indicate all the letters corresponding to such
categories.
4. If the category is under letter “I”, indicate the position held (i.e., Director/Trustee, President, Chief Executive Officer,
Chief Operating Officer, Chief Financial Officer, etc.).
5. Do not leave any item blank. Write “N/A” if the information required is not applicable or “NONE” if non-existent.
“Beneficial Owner” refers to any natural person(s) who ultimately own(s) or control(s) or exercise(s) ultimate effective
control over the corporation. This defination covers the natural person(s) who actualy own or control the corporation as
destinguished from the legal owners. Such beneficial ownership may be determined on the basis of the following:
Category Description
A Natural person(s) owning, directly or indirectly or through a chain of ownership, at least twenty-five percent
(25%) of the voting rights, voting shares or capital of the reporting corporation.
Natural person(s) who exercise control over the reporting corporation, alone or together with others, through any
B contract, understanding, relationship, intermediary or tiered entity.
C Natural person(s) having the ability to elect a majority of the board of directors/trustees, or any similar body, of
the corporation.
D Natural person(s) having the ability to exert a dominant influence over the management or policies of the
corporation.
E Natural person(s) whose directions, instructions,or wishes in conducting the affairs of the corporation are carried
out by majority of the members of the board of directors of such corporation who are accustomed or under an
obligation to act in accordance with such person's directions, instructions or wishes.
F Natural person(s) acting as stewards of the properties of corporations, where such properties are under the care
or administration of said natural person(s).
G Natural person(s) who actually own or control the reporting corporation through nominee shareholders or
nominee directors acting for or on behalf of such natural persons.
H Natural person(s) ultimately owning or controlling or exercising ultimate effective control over the corporation
through other means not falling under any of the foregoing categories.
I Natural person(s) exercising control through positions held within a corporation (i.e., responsible for strategic
decisions that fundamentally affect the business practices or general direction of the corporation such as the
members of the board of directors or trustees or simlar body within the corporation; or exercising executive
control over the daily or regular affairs of the corporation through a senior mangement position). This category is
only applicable in exceptional cases where no natural person is identifiable who ultimately owns or exerts control
over the corporation, the reporting corporation having exhausted all reasonable means of identification and
provided there are no grounds for suspicion.
TYPE OF
COMPLETE NAME % OF BENEFICIAL
(Surname, Given SPECIFIC TAX CATEGORY OF
DATE OF OWNERSHIP1 / OWNER3
Name, Middle Name, RESIDENTIAL NATIONALITY IDENTIFICATION BENEFICIAL
BIRTH % OF VOTING
Name Extension (i.e., ADDRESS NO. OWNERSHIP
Jr., Sr., III) RIGHTS2 Direct (D) or
Indirect (I)
1
For Stock Corporattions.
2
For Non-Stock Corporattions.
3
For Stock Corporattions.