7. |
List all contracts and other instruments required to be filed by 47 C.F.R. Section 73.3613. (Only licensees, permittees, or a reporting entity with a majority interest in or that otherwise exercises de facto control over the subject licensee or permittee shall respond.)
[Enter Contract/Instrument Information]
Contracts/Instruments Information
List all contracts and other instruments required to be filed by 47 C.F.R. Section 73.3613. (Only licensees, permittees, or a reporting entity with a majority interest in or that otherwise exercises de facto control over the subject shall respond.)
Description of contract or instrument |
Name of person or organization with whom contract is made |
Date of Execution |
Date of Expiration |
ARTICLES OF INCORPORATION |
REGENT COMMUNICATIONS, INC. |
06/11/1998 |
PERPETUAL |
Description of contract or instrument |
Name of person or organization with whom contract is made |
Date of Execution |
Date of Expiration |
BYLAWS |
REGENT COMMUNICATIONS, INC. |
06/11/1998 |
PERPETUAL |
Description of contract or instrument |
Name of person or organization with whom contract is made |
Date of Execution |
Date of Expiration |
CREDIT AGREEMENT |
AMONG REGENT BROADCASTING, INC., REGENT COMMUNICATIONS, INC., FLEET NATIONAL BANK, US BANK, NATIONAL ASSOCIATION, WACHOVIA BANK AND SUNTRUST BANK, AS CO-DOCUMENTATION AGENTS |
06/30/2003 |
12/31/2010 |
Description of contract or instrument |
Name of person or organization with whom contract is made |
Date of Execution |
Date of Expiration |
GUARANTY AGREEMENT |
AMONG REGENT COMMUNICATIONS, INC., REGENT BROADCASTING, INC., THE SUBSIDIARIES OF THE PARENT COMPANY AND FLEET NATIONAL BANK AS ADMINISTRATIVE AGENT |
06/30/2003 |
12/31/2010 |
Description of contract or instrument |
Name of person or organization with whom contract is made |
Date of Execution |
Date of Expiration |
SECURITY AGREEMENT |
AMONG REGENT COMMUNICATIONS, INC., REGENT BROADCASTING, THE SUBSIDIARIES OF THE PARENT COMPANY AND FLEET NATIONAL BANK, AS COLLATERAL AGENT |
06/30/2003 |
12/31/2010 |
Description of contract or instrument |
Name of person or organization with whom contract is made |
Date of Execution |
Date of Expiration |
PLEDGE AGREEMENT |
AMONG REGENT COMMUNICATIONS, INC., REGENT BROADCASTING, INC., THE SUBSIDIARIES OF THE PARENT COMPANY AND FLEET NATIONAL BANK, AS COLLATERAL AGENT |
06/30/2003 |
12/31/2010 |
Description of contract or instrument |
Name of person or organization with whom contract is made |
Date of Execution |
Date of Expiration |
AMENDMENT TO CREDIT AGREEMENT |
AMONG REGENT BROADCASTING, INC., REGENT COMMUNICATIONS, INC., FLEET NATIONAL BANK, US BANK, NATIONAL ASSOCIATION, WACHOVIA BANK AND SUNTRUST BANK, AS CO-DOCUMENTATION AGENTS |
12/15/2004 |
12/31/2010 |
|
|
9. |
(a.) |
List the respondent, and, if other than a natural person, its officers, directors, stockholders and other entities with attributable interests, non-insulated partners and/or members. If a corporation or partnership holds an attributable interest in the respondent, list separately its officers, directors, stockholders and other entities with attributable interests, non-insulated partners and/or members. Create a separate row for each individual or entity. Attach supplemental pages, if necessary.
[Enter Owner Information]
Owner Information
List the respondent, and, if other than a natural person, its officers, directors, stockholders and other entities with attributable interests, non-insulated partners and/or members. If a corporation or partnership holds an attributable interest in the respondent, list separately its officers, directors, stockholders and other entities with attributable interests, non-insulated partners and/or members. Create a separate row for each individual or entity. Attach supplemental pages, if necessary.
(Read carefully - The numbered items below refer to line numbers in the following table.) |
1. Name and address of respondent and each party to the respondent holding an attributable interest (if other than individual also show name, address and citizenship of natural person authorized to vote the stock or holding the attributable interest). List the respondent first, officers next, then directors and, thereafter, remaining stockholders and other entities with attributable interests, and partners.
2. Gender (male or female).
3. Ethnicity (check one).
4. Race (select one or more).
5. Citizenship. 6. Positional interest: Officer, director, general partner, limited partner, LLC member, investor/creditor attributable under the Commission's equity/debt plus standard, etc.
7. Percentage of votes.
8. Percentage of total assets (equity debt plus).
|
1. Name and Address |
REGENT COMMUNICATIONS, INC., 2000 FIFTH THIRD CENTER, 511 WALNUT STREET, CINCINNATI, OH 45202 |
2. Gender (male or female) |
N/A
|
3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
5. Citizenship |
US |
6. Positional Interest |
RESPONDENT |
7. Percentage of votes |
0.00 |
8. Percentage of total assets (equity debt plus) |
0.00 |
1. Name and Address |
BLUE CHIP CAPITAL FUND III LIMITED PARTNERSHIP, 1100 CHIQUITA CENTER, 250 EAST 5TH STREET, CINCINNATI, OH |
2. Gender (male or female) |
N/A
|
3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
5. Citizenship |
US |
6. Positional Interest |
STOCKHOLDER |
7. Percentage of votes |
1.47 |
8. Percentage of total assets (equity debt plus) |
1.47 |
1. Name and Address |
WPG CORPORATE DEVELOPMENT ASSOCIATES V (OVERSEAS), L.P., C/O WEISS PECK & GREER, L.L.C., 909 THIRD AVENUE, NEW YORK, NY 10022 |
2. Gender (male or female) |
N/A
|
3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
5. Citizenship |
US |
6. Positional Interest |
STOCKHOLDER |
7. Percentage of votes |
1.00 |
8. Percentage of total assets (equity debt plus) |
1.00 |
1. Name and Address |
WPG CORPORATE DEVELOPMENT ASSOCIATES V, LLC, C/O WEISS PECK & GREER, L.L.C., 909 THIRD AVENUE, NEW YORK, NY 10022 |
2. Gender (male or female) |
N/A
|
3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
5. Citizenship |
US |
6. Positional Interest |
STOCKHOLDER |
7. Percentage of votes |
6.43 |
8. Percentage of total assets (equity debt plus) |
6.43 |
1. Name and Address |
BLUE CHIP CAPITAL FUND II LIMITED PARTNERSHIP, 1100 CHIQUITA CENTER, 250 EAST 5TH STREET, CINCINNATI, OH |
2. Gender (male or female) |
N/A
|
3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
5. Citizenship |
US |
6. Positional Interest |
STOCKHOLDER |
7. Percentage of votes |
6.22 |
8. Percentage of total assets (equity debt plus) |
6.22 |
1. Name and Address |
MIAMI VALLEY VENTURE FUND, L.P., C/O BLUE CHIP CAPITAL FUND, L.P., 1100 CHIQUITA CENTER, 250 EAST 5TH STREET, CINCINNATI, OH 45202 |
2. Gender (male or female) |
N/A
|
3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
5. Citizenship |
US |
6. Positional Interest |
STOCKHOLDER |
7. Percentage of votes |
0.78 |
8. Percentage of total assets (equity debt plus) |
0.78 |
1. Name and Address |
**WELLINGTON MANAGEMENT COMPANY, LLP, 75 STATE STREET, BOSTON, MA 02109 |
2. Gender (male or female) |
N/A
|
3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
5. Citizenship |
US |
6. Positional Interest |
STOCKHOLDER** |
7. Percentage of votes |
6.53 |
8. Percentage of total assets (equity debt plus) |
6.53 |
1. Name and Address |
DIMENSIONAL FUND ADVISORS, INC., 1299 OCEAN AVENUE, 11TH FLOOR, SANTA MONICA, CA 90401 |
2. Gender (male or female) |
N/A
|
3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
5. Citizenship |
US |
6. Positional Interest |
STOCKHOLDER |
7. Percentage of votes |
10.26 |
8. Percentage of total assets (equity debt plus) |
10.26 |
1. Name and Address |
T. ROWE PRICE ASSOCIATES, INC., 100 EAST PRATT STREET, BALTIMORE, MAD 21202 |
2. Gender (male or female) |
N/A
|
3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
5. Citizenship |
US |
6. Positional Interest |
STOCKHOLDER |
7. Percentage of votes |
7.69 |
8. Percentage of total assets (equity debt plus) |
7.69 |
1. Name and Address |
*WILLIAM P. SUTTER, JR.'S PERCENTAGE INTEREST INCLUDES A .004797% INTEREST ATTRIBUTABLE TO SHARES HELD BY MR. SUTTER'S TWO MINOR CHILDREN. |
2. Gender (male or female) |
N/A
|
3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
5. Citizenship |
US |
6. Positional Interest |
N/A |
7. Percentage of votes |
0.00 |
8. Percentage of total assets (equity debt plus) |
0.00 |
1. Name and Address |
**WELLINGTON MANAGEMENT, LLP ('WELLINGTON MANAGEMENT') IS AN INVESTMENT ADVISER REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION ('SEC') UNDER SECTION 203 OF THE INVESTMENT ADVISERS ACT OF 1940, AS AMENDED. WELLINGTON MANAGEMENT, IN ITS CAPACITY |
2. Gender (male or female) |
N/A
|
3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
5. Citizenship |
US |
6. Positional Interest |
**CONTINUED ON NEXT PAGE |
7. Percentage of votes |
0.00 |
8. Percentage of total assets (equity debt plus) |
0.00 |
1. Name and Address |
AS INVESTMENT ADVISER, MAY BE DEEMED TO HAVE BENEFICIAL OWNERSHIP OF SHARES OF THE COMMON STOCK OF REGENT COMMUNICATIONS, INC. (THE 'COMPANY') UNDER FEDERAL SECURITIES LAWS, AND THEREFORE HAS FILED A SCHEDULE 13G WITH THE SEC. HOWEVER, WHILE WELLINGTON |
2. Gender (male or female) |
N/A
|
3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
5. Citizenship |
US |
6. Positional Interest |
**CONTINUED ON NEXT PAGE |
7. Percentage of votes |
0.00 |
8. Percentage of total assets (equity debt plus) |
0.00 |
1. Name and Address |
**CONTINUED MANAGEMENT SHARES THE RIGHT TO VOTE SOME OF SUCH SHARES WITH ITS INVESTMENT ADVISORY CLIENTS, SUCH SHARES ARE OWNED OF RECORD BY ITS INVESTMENT ADVISORY CLIENTS, AND WELLINGTON MANAGEMENT IS NOT THE OWNER OF RECORD OF SUCH SHARES AND DISCLAIMS |
2. Gender (male or female) |
N/A
|
3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
5. Citizenship |
US |
6. Positional Interest |
**CONTINUED ON NEXT PAGE |
7. Percentage of votes |
0.00 |
8. Percentage of total assets (equity debt plus) |
0.00 |
1. Name and Address |
**CONTINUED ANY PECUNIARY INTEREST IN SUCH SHARES. |
2. Gender (male or female) |
N/A
|
3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
5. Citizenship |
US |
6. Positional Interest |
0 |
7. Percentage of votes |
0.00 |
8. Percentage of total assets (equity debt plus) |
0.00 |
1. Name and Address |
WILLIAM L. STAKELIN, 1870 MADISON ROAD, CINCINNATI, OH 45206 |
2. Gender (male or female) |
Male
|
3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
5. Citizenship |
US |
6. Positional Interest |
PRESIDENT/CEO/DIRECTOR/STOCKHOLDER |
7. Percentage of votes |
0.70 |
8. Percentage of total assets (equity debt plus) |
0.70 |
1. Name and Address |
MATTHEW A. YEOMAN, C/O REGENT COMMUNICATIONS, INC., 2000 FIFTH THIRD CENTER, 511 WALNUT STREET, CINCINNATI, OH 45202 |
2. Gender (male or female) |
Male
|
3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
5. Citizenship |
US |
6. Positional Interest |
VICE PRESIDENT, OPERATIONS/STOCKHOLDER |
7. Percentage of votes |
0.02 |
8. Percentage of total assets (equity debt plus) |
0.02 |
1. Name and Address |
FRED L. MURR, C/O REGENT COMMUNICATIONS, INC., 2000 FIFTH THIRD CENTER, 511 WALNUT STREET, CINCINNATI, OH 45202 |
2. Gender (male or female) |
Male
|
3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
5. Citizenship |
US |
6. Positional Interest |
SENIOR VICE PRESIDENT, OPERTIONS/STOCKHOLDER |
7. Percentage of votes |
0.10 |
8. Percentage of total assets (equity debt plus) |
0.10 |
1. Name and Address |
ANTHONY A. VASCONCELLOS, C/O REGENT COMMUNICATIONS, INC., 2000 FIFTH THIRD CENTER, 511 WALNUT STREET, CINCINNATI, OH 45202 |
2. Gender (male or female) |
Male
|
3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
5. Citizenship |
US |
6. Positional Interest |
EXECUTIVE VICE PRESIDENT/CFO/STOCKHOLDER |
7. Percentage of votes |
0.22 |
8. Percentage of total assets (equity debt plus) |
0.22 |
1. Name and Address |
JOHN H. WYANT, C/O BLUE CHIP VENTURE CAPITAL FUND, 100 CHIQUITA CENTER, 250 EAST 5TH STREET, CINCINNATI, OH 45202 |
2. Gender (male or female) |
Male
|
3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
5. Citizenship |
US |
6. Positional Interest |
DIRECTOR/STOCKHOLDER |
7. Percentage of votes |
8.48 |
8. Percentage of total assets (equity debt plus) |
8.48 |
1. Name and Address |
*WILLIAM P. SUTTER, JR., 333 RICHMOND, KENILWORTH, IL 60043 |
2. Gender (male or female) |
Male
|
3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
5. Citizenship |
US |
6. Positional Interest |
CHAIRMAN OF THE BOARD/STOCKHOLDER |
7. Percentage of votes |
0.08 |
8. Percentage of total assets (equity debt plus) |
0.08 |
1. Name and Address |
ANDREW LEWIS, IV, C/O BRYNWOOD PARTNERS, 356 EXETER ROAD, HAVERFORD, PA 19041 |
2. Gender (male or female) |
Male
|
3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
5. Citizenship |
US |
6. Positional Interest |
DIRECTOR/STOCKHOLDER |
7. Percentage of votes |
7.44 |
8. Percentage of total assets (equity debt plus) |
7.44 |
1. Name and Address |
ROBERT MOODY, C/O REGENT COMMUNICATIONS, INC., 2000 FIFTH THIRD CENTER, 511 WALNUT STREET, CINCINNATI, OH 45202 |
2. Gender (male or female) |
Male
|
3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
5. Citizenship |
US |
6. Positional Interest |
VICE PRESIDENT OF PROGRAMMING/STOCKHOLDER |
7. Percentage of votes |
0.02 |
8. Percentage of total assets (equity debt plus) |
0.02 |
1. Name and Address |
ROBERT E. ALLEN, JR., C/O REGENT COMMUNICATIONS, INC., 2000 FIFTH THIRD CENTER, 511 WALNUT STREET, CINCINNATI, OH 45202 |
2. Gender (male or female) |
Male
|
3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
5. Citizenship |
US |
6. Positional Interest |
VICE PRESIDENT, FINANCE AND ACCOUNTING, TREASUER/STOCKHOLDER |
7. Percentage of votes |
0.04 |
8. Percentage of total assets (equity debt plus) |
0.04 |
1. Name and Address |
DAVID J. REMUND, C/O REGENT COMMUNICATIONS, INC., 2000 FIFTH THIRD CENTER, 511 WALNUT STREET, CINCINNATI, OH 45202 |
2. Gender (male or female) |
Male
|
3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
5. Citizenship |
US |
6. Positional Interest |
VICE PRESIDENT OF ENGINEERING/STOCKHOLDER |
7. Percentage of votes |
0.02 |
8. Percentage of total assets (equity debt plus) |
0.02 |
1. Name and Address |
ROBERT AUSFELD, C/O REGENT COMMUNICATIONS, INC., 2000 FIFTH THIRD CENTER, 511 WALNUT STREET, CINCINNATI, OH 45202 |
2. Gender (male or female) |
Male
|
3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
5. Citizenship |
US |
6. Positional Interest |
REGIONAL VICE PRESIDENT/STOCKHOLDER |
7. Percentage of votes |
0.03 |
8. Percentage of total assets (equity debt plus) |
0.03 |
1. Name and Address |
MICHAEL GRIMSLEY, C/O REGENT COMMUNICATIONS, INC., 2000 FIFTH THIRD CENTER, 511 WALNUT STREET, CINCINNATI, OH 45202 |
2. Gender (male or female) |
Male
|
3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
5. Citizenship |
US |
6. Positional Interest |
REGEIONAL VICE PRESIDENT/STOCKHOLDER |
7. Percentage of votes |
0.05 |
8. Percentage of total assets (equity debt plus) |
0.05 |
1. Name and Address |
GINGER SCHERBARTH, C/O 2000 FIFTH THIRD CENTER, 511 WALNUT STREET, CINCINNATI, OH 45202 |
2. Gender (male or female) |
Female
|
3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
5. Citizenship |
US |
6. Positional Interest |
SECRETARY/STOCKHOLDER |
7. Percentage of votes |
0.02 |
8. Percentage of total assets (equity debt plus) |
0.02 |
1. Name and Address |
TIMOTHY M. MOONEY, C/O REGENT COMMUNICATIONS, INC., 2000 FIFTH THIRD CENTER, 51 WALNUT STREET, CINCINNATI, OH 45202 |
2. Gender (male or female) |
Male
|
3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
5. Citizenship |
US |
6. Positional Interest |
DIRECTOR/STOCKHOLDER |
7. Percentage of votes |
0.02 |
8. Percentage of total assets (equity debt plus) |
0.02 |
|
(b) |
Respondent certifies that equity and financial interests not set forth in response to Question 9(a) are non-attributable. |
Yes No
N/A
See Explanation in
[Exhibit 2]
|
(c) |
Is the respondent or any party holding an attributable interest in the respondent also the holder of an attributable interest in any other broadcast station or in any cable or newspaper entities in the same market or with overlapping signals in the same broadcast service, as described in 47 C.F.R. Sections 73.3555 and 76.501? |
Yes No |
If "Yes", submit an Exhibit identifying the holder of that other attributable interest, listing the call signs, locations and facilities identifiers of such other broadcast stations, and describing the nature and size of the ownership interest and the positions held in the other broadcast, cable or newspaper entities. |
[Exhibit 3] |
(d) |
Are any of the individuals listed in response to Question 9(a) related as parent-child, husband-wife, brothers and sisters?
|
Yes No
|
|
If "Yes", submit an Exhibit setting forth full information as to the family relationship
|
[Exhibit 4]
|
(e) |
Is respondent seeking an attribution exemption for any officer or director with duties unrelated to the licensee or permittee?
If "Yes", submit an Exhibit identifying that individual by name and title, fully describing that individual's duties and responsibilities, and explaining why that individual should not be attributed an interest.
|
Yes No
[Exhibit 5]
|
|