5

le 14a-5b) states disclosure is not required when the information "is not known to the person on whose behalf the solicitation is to be ade and which is not reasonably within the power of such persons to ascertain or procure.

60-146 75-7

Securities

Exchange Act

of 1934

C. Any person (includes each participant) soliciting proxies which involves a contest for the election or removal of directors of a company must submit, in addition to information contained in. 1A, the following information.

a.

name, business and residence addresses, occupational
background and the amounts of each class of securities
of the issuer owned beneficially and/or of record
by such person;

b. the name and address of each "associate" of the
participant together with the amount of securities
of the issuer owned beneficially by each;

4.

Company at time of registering a public offering must 1st the name and address; class of security camed; whether owned of record, beneficially or both; amount ow ei; and percentage of each class of security owned of a person who is directly or indirectly the owner of "re than 10 of any class of voting securities; also other than on Form 3-8, information is required as to equity securities beneficially owned by officers and directors as a group, without naming them.

Company at time of registering under the Investment Company Act and/or when a new public offering is made mist list the name and address; class of security owned; whether owned of record, beneficially or both; amount owned; and percentage of each class of security ow:.ed of a person who is Jirectly or indirectly the owner of 5 or more of the o tstarding voting securities. Company at time of registering a public offering must list the name and address; class of security owned; whether owned of record, benefically or both; amount owned; and percentage of each class of security owned of any person who is directly or indirectly the owner of 5 or more of the voting securities of the issuer and of each person who owns of record or is known by the registrant to own beneficially more than 10% of any other class of equity security of the registrant.

Form 1-A, application for exemption from registration under the act (17 CFR 239.90). Form 1-E, application for exemptions from registration for securities of small business investment companies CFR 239.200).

Form S-1, registration statement under the
Securities Act of 1933 where no other form
has been authorized (17 CFR 239.11).
Form S-2, registration statement for shares
of certain corporations in the development
stage (17 CFR 239.12).

Form 3-3, registration statement for shares
of mining corporations in the development
stage (17 CFR 239.13).

Form S-8, registration statement for
securities to be offered to employees
pursuant to certain plans (17 CFR 239.16b).
Form S-10, registration statement for oil
or gas interests or rights (17 CFR 239.17).
Form S-11, regis tration statement for
securities of certain real estate companies
(17 CFR 239.18).

Securities Act f a company fails to make a required of 1933

filing with the SEC, or fails to include
in a filing the correct information, the
Commission may authorize an investigation,
suspend trading in the company's outstand-
ing securities, and, if the filing were in
Securities Act connection with an offering of securities,
of 1933
prevent a registration. from becoming
effective or an exemption from being
granted until the required information
is filed. If the facts disclosed
warrant doing so, it may then seek a
civil injunction in a U.S. district
court to force the company to make the
required filing, or, in an extreme case,
recommend criminal prosecution.

5. Company at time of registering its shares or at
time of annual report must list the name and
address; class of security owned; whether owned
of record, beneficially or both; amount owned and
percent of each class owned of any person who
directly or indirectly owns with the power to vote
more than 10% of any class of voting securities of
the company.
Information is also required as to

each class of equity securities of the registrant
or any of its parents or subsidiaries, beneficially
owned by all officers and directors of the registrant
as a group, without naming them.

6. Investment companies submitting annual reports must list name and address; class of security owned; whether owned of record, benefically or both; amount owned and percent of each class owned of any person who directly or indirectly owns, controls, or holis with the power to vote 5% or more of the outstanding voting securities, or or more of any class of equity security, of the investment company.

10

7. Registered public utility holding companies must
furnish ownership information on each individual
known to the registrant to own benefically 1% or
more of the voting securities of any registered
holding company in the system. The form also
requires the registrant to list the names of those
individuals benefically owning 5% or more of the
total voting securities of any other company in
the system. The information required includes the
name of the issuer, class of stock owned, name
and address of the beneficial owner, number of
shares owned, and the percent owned.

8. Fegistered public utility holding companies must
list in their complete registration statements

the 20 largest stockholders, including the beneficial owners, of the securities of the holding company, showing for each issue, the owner's name and address, the number of shares owned, and the percent of the issue owned.