§ 228.403 - (Item 403) Security Ownership of Certain Beneficial Owners and Management.

Latest version.

(a) Security ownership of certain beneficial owners. Complete the table below for any person (including any “group”) who is known to the small business issuer to be the beneficial owner of more than five percent of any class of the small business issuer's voting securities.
Title of class
(1)

Name and address of beneficial owner

(2)

Amount and nature of beneficial owner

(3)

Percent of class

(4)

(b) Security ownership of management. Furnish the following information, as of the most recent practicable date, in substantially the tabular form indicated, as to each class of equity securities of the small business issuer or any of its parents or subsidiaries, including directors' qualifying shares, beneficially owned by all directors and nominees, naming them, each of the named executive officers as defined in Item 402(a)(2) (§ 228.402(a)(2)), and directors and executive officers of the small business issuer as a group, without naming them. Show in column (3) the total number of shares beneficially owned and in column (4) the percent of the class so owned. Of the number of shares shown in column (3), indicate, by footnote or otherwise, the amount of shares that are pledged as security and the amount of shares with respect to which such persons have the right to acquire beneficial ownership as specified in § 240.13d-3(d)(1) of this chapter.

(1) Title of class(2) Name of beneficial owner(3) Amount and nature of

beneficial ownership

(4) Percent of class

                    
                        var val = document.getElementById('citecontent').innerHTML;
                        art.dialog.defaults.title = window.location.href;
                        art.dialog.data('cite', val);
                        art.dialog.data('homeDemoPath', '/Scripts/plus/artDialog/');
                        art.dialog.open('/Scripts/plus/artDialog/citeiframe.html');