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P.O.Box470881LittleDeeDrivePawnee,OK74058Phone:918‐762‐3621Fax:918‐762‐6446
DocumentationRequirements
I.Management
1.Provideforeachownerofmorethan5%interest,allseniormanagementpersonnelandmembersof
theBoardofDirectorthefollowing:
A.Name
B.Address
C.SocialSecurityNumber
D.IfIndian,TribalAffiliationandEnrollmentNumber
E.Percentageofownership
2.Presentposition(descriptionofallduties)
3.Previousbusinessexperience
4.Previousworkexperienceinareasinwhichfirmintendstoengage
5.EducationandTraining
6.Otherjobspresentlyheld
7.ControlofCompany:
A.Identifyname
B.Race
C.Titleincompanythoseindividuals(ownersandnon‐owners)whoareresponsiblefor
daytodaymanagement,including,butnotlimitedto,thosewithprimeresponsibilityfor:
a.Financialdecisions
b.Managementdecisions,suchas:
•Marketing&Sales
•Hiring&Firing
•Purchaseofmajorequipment&supplies
•Supervisionoffieldpersonnel
8.Describeorattachanystockoptionsorotherownershipoptions that are outstanding, and any
agreementsbetweenowners&thirdparties,whichrestrictownershiporcontrolofIndianowners.
9.Aswornstatementoftheproperofficerindicating:
A.Thetotalnumberofshareofthecapitalstockactuallyissuedandtheamountofcash
paidintothetreasuryoneachsharesold:or,ifpaidinproperty,thekind,quantityand
valueofthesamepershare.
10.Ofthestocksold,howmuchremainsunpaidandsubjecttoassessment?