Names of Officers, Directors, and Control Persons Jeffrey A. Foley – Chairman, CEO Alan D. Stone – Director Ted Campbell – Director There are currently no control persons or beneficial owners of more than five percent (5%) of any class of NanoTech’s equity securities.
B. Legal/Disciplinary History. Please identify whether any of the foregoing persons have, in the last five years, been the subject of: 1. A conviction in a criminal proceeding or named as a defendant in a pending criminal proceeding (excluding traffic violations and other minor offenses); none 2. The entry of an order, judgment, or decree, not subsequently reversed, suspended or vacated, by a court of competent jurisdiction that permanently or temporarily enjoined, barred, suspended or otherwise limited such person’s involvement in any type of business, securities, commodities, or banking activities; none 3. A finding or judgment by a court of competent jurisdiction (in a civil action), the Securities and Exchange Commission, the Commodity Futures Trading Commission, or a state securities regulator of a violation of federal or state securities or commodities law, which finding or judgment has not been reversed, suspended, or vacated; or none 4. The entry of an order by a self-regulatory organization that permanently or temporarily barred suspended or otherwise limited such person’s involvement in any type of business or securities activities. none
GRASPING @ STRAWS? "In a civil action related to securities & exchange commission, commodity futures trading commission or state securities or commodities law", etc... (GET IT RIGHT!!): Read BEYOND the red rectangle continues to complete the inquiry to which NTEK correctly replied (as follows):
3. A finding or judgment by a court of competent jurisdiction (in a civil action), the Securities and Exchange Commission, the Commodity Futures Trading Commission, or a state securities regulator of a violation of federal or state securities or commodities law, which finding or judgment has not been reversed, suspended, or vacated; or
Common parlance & standard in a filing. Requesting if any civil actions have taken place IN RELATION to those commissions, laws, etc..BTW, Upon FURTHER REVIEW of the civil action it was dismissed & (if memmory serves) was for around $1,500 or so bucks. A civil matter, in the U.S., according to my research is below a certain threshold of "damages sought". I don't think ANY STATE has that number above $3.5k in any case...BIG WHOOP!! We have ALSO discussed this before, right?...Tsk tsk!!
Has NOTHING to do with any securities related issues (which the SEC would obviously be interested in). By the way, although NTEK is not obliged to provide financials &/or guidance, they do!!!