Stockholders Owning 5% of An Issuer’s Equity Securities

The Securities Exchange Act requires that individuals or entities who acquire 5% or more of an issuer’s equity securities to file form 13D with the SEC. Rule 13D requires that the SEC, the exchange where the securities are listed, and the issuer be informed of the size of the investor’s holdings and the purpose for the investment. Rule 13 D does not require that the stockholders be informed directly by the investor. An entity may acquire more than 5% of the issuer’s securities for investment purposes, for control, or for acquisition.

THE EXCHANGES

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