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Ownership Code:
<br /> 0 NA-less than 5% B-10%but less than ©D-60%but less than
<br /> 25% 75%
<br /> a A-5%but less than 10% @ C-25%but less than 0 E-75%or more
<br /> 50%
<br /> Control Person: 0 YES NO
<br /> Individual CRD No.(If none:enter 0000000):
<br /> CRD No.:
<br /> SCHEDULE B
<br /> Indirect Owners of the Applicant
<br /> Guidance:To determine indirect ownsershtp,see instructions 2 and 3 below.
<br /> 1. Complete Schedule B only If applicant Is submitting an initial application.Schedule B asks for information about the applicant's indirect
<br /> owners.The applicant must first complete Schedule A,which asks for information about direct owners.For purposes of Schedule B,an"indirect
<br /> owner"includes any owner of 25%or more of an!r direct owner listed in Schedule A,and any owner of 25%or more of each such indirect owner
<br /> going up the chain of ownership.Use Schedule C to amend the information in this schedule.
<br /> Separate subparts of Schedule 6 must be completed for:(1)indirect owners that are business entities,and(2)indirect owners who are natural
<br /> persons,as follows:
<br /> •Complete Schedule B-1:"Indirect Owners of Applicant-Business Entities,"for owners who are organized as business or other
<br /> legal entities,such as a corporation,partnership,trust,or limited liability company.
<br /> •Complete Schedule B-2:"Indirect Owners of Applicant-Natural Persons,"for individuals and sole proprietors.
<br /> 2. With respect to each direct owner listed on Schedule A 1 (business entities),list in either Schedule B-1 or Schedule B-2 below,as
<br /> applicable:
<br /> (a)In the case of a direct owner listed on Schedule A-1 that is a corporation,each of its shareholders that beneficially owns,has the right to
<br /> vote,or has the power to sell or direct the sale of,25%or more of a class of a voting security of that corporation;
<br /> For purposes of this Schedule,a person beneficially owns any securities:(i}owned by his/her child,stepchild,grandchild,parent,stepparent,
<br /> grandparent,spouse,sibling,mother-In-law,father-in-law,son-in-law,daughter-in-law,brother-in-law,or sister-in-law,sharing the same
<br /> residence;or(u)that helshe has the right to acquire,within 60 days,through the exercise of any option,warrant,or right to purchase the security.
<br /> (b)in the case of a direct owner listed on Schedule A-1 that Is a partnership,all general partners and each limited and special partner that has
<br /> the right to receive upon dissolution,or has contributed,25%or more of the partnership's capital;
<br /> (c)in the case of a direct owner listed on Schedule A-1 that is a trust,the trust and each trustee;and
<br /> (d)in the case of a direct owner listed on Schedule A-1 that is a limited liability company("LLC"),(i)each member that has the right to
<br /> receive upon dissolution,or has contributed,25%or more of the LLC's capital,and(ii)if managed by elected managers,each elected manager.
<br /> 3. Continue up the chain of indirect ownership listing all 25%shareholders at each level.Once a public reporting company(a company subject
<br /> to Sections 12 or 15(d)of the Exchange Act)is reached,no further ownership information need be given.
<br /> 4. In the DEIFE column in Schedule B-1 below,enter"DE"if the indirect owner is a domestic entity,or"FE"if the owner is an entity organized,
<br /> incorporated or domiciled in a foreign country.Complete the next column by indicating the entity in the chain of ownership in which this indirect
<br /> owner has an interest.
<br /> 5.. Complete the Status column by entering the indirect owner's status as partner,trustee,elected manager,shareholder,of member.For
<br /> shareholders or members,indicate the class of securities owned(if more than one is issued).
<br /> 6. Ownership Codes are:
<br /> C-25%but less than 50%
<br /> D-50%but less than 75%
<br /> E-75%or more
<br /> F-Other(general partner,trustee,or elected manager)
<br /> 7. (a)In the Control Person column,enter"Yes"in the first sub-column if the person has control as defined in the Glossary of Terms to Form MA,
<br /> and enter"No"if the person does not have control.Note that under this definition,most executive officers and all 25%owners,general partners,
<br /> elected managers,and trustees are control persons.
<br /> (b)In the PR sub-column,for Schedule B-1 only,enter"PR"if the indirect owner is a public reporting company under Sections 12 or 15(d)of
<br /> the Exchange Act.
<br /> 8. (a)For Schedule B-1,enter the organization CRD number.If not registered with the CRD,then enter the IRS Tax Number,Employer Identification
<br /> Number("EIN"),or Foreign Business Number.
<br /> (b)For Schedule B-2,enter the individual CRD number.If not registered with the CRD,then enter 0000000.
<br /> Schedule B-'I: Indirect Owners of Applicant— Business Entities
<br /> Schedule B-2: Indirect Owners of Applicant— Natural Persons
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