Form U-7 - Small Company Offering Registration (Scor) Form Page 29
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3889.
Has a petition for bankruptcy, receivership, or a similar insolvency proceeding been filed by
or against any Officer, Director, or key person within the past five years, or any longer period if
material?
[ ] Yes
[ ] No
90.
Was any Officer, Director, or key person an executive officer, a director, or in a similar
management position for any business entity that was the subject of a petition for bankruptcy,
receivership, or similar insolvency proceeding within the past five years, or any longer period if
material?
[ ] Yes
[ ] No
91.
Explain in detail any “yes” answer to Item 89 or 90.
Criminal Proceedings
92.
(a)
Has any Officer, Director, or key person been convicted in a criminal proceeding,
excluding traffic violations or other minor offenses? [ ] Yes
[ ] No
92.
(b)
Is any Officer, Director, or key person named as the subject of a pending criminal
proceeding, excluding traffic violations or other minor offenses?
[ ] Yes
[ ] No
92.
(c)
Explain in detail any “yes” answer to Item 92(a) or 92(b).
Civil Proceedings
93.
(a)
Has any Officer, Director, or key person been the subject of a court order, judgment
or decree in the last five years related to his or her involvement in any type of business, securities,
or banking activity?
[ ] Yes
[ ] No
93.
(b)
Is any Officer, Director, or key person the subject of a pending civil or action related
to his or her involvement in any type of business, securities, or banking activity?
[ ] Yes
[ ] No
93.
(c)
Has any civil action been threatened against any Officer, Director, or key person
related to his or her involvement in any type of business, securities, or banking activity?
[ ] Yes
[ ] No
93.
(d)
Explain in detail any “yes” answer to Item 93(a), 93(b), or 93(c).
Small Company Offering Registration (SCOR) Form
Page - 29
Revised: September 28, 1999
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