| Form 13976 |
Itemized Statement Component of Advisee List |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| Section I |
Material Advisor Information |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| Name (Last/Company) |
First Name |
Street Address |
City |
State |
Zip Code |
Telephone Number |
Identifying Number |
Person to Contact |
|
|
|
|
|
|
|
|
|
| Section II |
Reportable Transaction Information |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| Name of Reportable Transaction |
|
Type(s) of ReportableTransaction |
|
Reportable Transaction # |
|
|
Published Guidance # (TOI or Listed Transactions) |
|
|
|
|
|
|
|
|
|
|
| Section III |
Other Material Advisors to the Reportable Transaction |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| Name (Last/Company) |
First Name |
Street Address |
City |
State |
Zip Code |
Identifying Number |
Signed Designation Agreement (Yes or No) |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| Section IV |
Advisee Information |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| Name (Last/Company) |
First Name |
Street Address |
City |
State |
Zip Code |
Identifying Number |
Date Entered into Transaction |
Amount Invested |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|