SEC Memorandum Circular No, 27_ Series of 2018 TO : ALL SEC REGISTERED DOMESTIC CORPORATIONS SUBJECT REVISION OF THE GENERAL INFORMATION SHEET (GIS) TO INCLUDE BENEFICIAL OWNERSHIP INFORMATION Pursuant to its mandate to assist in the implementation of the Anti-Money Laundering Act (AMLA), as amended, and to ensure timely access to adequate, accurate and current information on the beneficial ownership and control of SEC registered corporations and prevent their misuse for money laundering and terrorist financing purposes, the Securities and Exchange Commission ("SEC’, “Commission”) hereby issues this Memorandum Circular. SECTION 1. Coverage. - This Memorandum Circular shall apply to all SEC registered domestic corporations, both stock and non-stock. 2.1. “Beneficial Owner” refers to any natural person who: (1) Ultimately owns or controls the corporation; o (2) Has ultimate effective control over the corporation. 2.2, — “ultimate Effective Control” refers to any situation in which ownership/control is exercised through actual or a chain of ownership or by means other than direct control. This may be achieved through, but not limited to, any of the following situations: a) direct or indirect ownership of at least 25% of any category of voting shares or capital of a legal person, arrangement, understanding, relationship or otherwise has or shares voting power, which includes the power to vote, or to direct the voting of, such security; and/or investment returns or power, which includes the power to dispose of, or to direct, the disposition of such security; Provided, that a person shall be deemed to have an indirect beneficial ownership interest in any security which is: (held by members of his/her immediate family sharing the same household; (ii) held bya partnership in which he/she is a general partner; (ili) held by a corporation of which he/she is the controlling shareholder; or Pibhished: Werle Ballet, Noam 3,(iv) subject to any contract, arrangement or understanding which gives him/her voting power or investment power with respect to such securities: Provided, however, that a person shall not be deemed to be a beneficial owner of securities held by him/her for the benefit of third parties or in customer or fiduciary accounts in the ordinary course of business, so long as such shares were acquired by such person without the purpose or effect of changing or influencing control of the issuer. b) the ability to elect a majority of the board of directors, or any similar body, ofa legal person or arrangement; or ©) anysituation in which: (i) aperson has the ability in fact to exert a dominant influence over the ‘management or policies ofa legal person or arrangement; or (ii) majority of the members of the board of directors of a such legal person or arrangement, or any equivalent body, are accustomed or under an obligation, whether formal or informal, to act in accordance with a given person’s directions, instructions or wishes in conducting the affairs of the legal person or arrangement. 2.3. "GIS" refers to the General Information Sheet. SECTION 3. Disclosure of Beneficial Ownership. - To ensure timely access to adequate, accurate and current information on the beneficial ownership and control of SEC registered corporations, all SEC registered corporations are required to disclose their beneficial owners as defined herein. Accordingly, the GIS is hereby revised to include such information. The following information on the beneficial owner shall be provided, to wit: ‘a. Complete name which shall include the surname, given name, middle name and name extension (i.e, Jr, St. {11}; b. Specific residential address; c. Nationality; . Tax identification number; and fe. Percentage of ownership, ifapplicable. ‘This requirement on the disclosure of beneficial ownership shall be initially complied with beginning 01 January 2019. SECTION 4. Determination of Beneficial Ownership. - Where a corporation is owned through multiple layers, any intermediate layers of the company’s ownership structure should be fully identified. Such information shall be declared in the GIS and illustrated in an ownership chart to be attached thereto clearly showing the intermediate layers with their respective ownership amounts.SECTION 5. Updating of Beneficial Ownership Information. - The SEC shall be timely apprised of all relevant changes in the submitted beneficial ownership information contained in the GIS as they arise. An updated GIS shall be submitted to the SEC within seven (7) days after such change occurred or became effective. SECTION 6. Validating Information. - The Commission shall validate the beneficial ownership information provided in the GIS through an on-site inspection of the books and records of the corporations and/or through other means available. SECTION 7. Effectivity. - This Circular shall take effect immediately after its publication in a national newspaper of general circulation. Pasay City, Philippines, 27 November 2018. FOR THE COMMISSION: eI AQUINO Chairperson‘GENERAL INFORMATION SHEET (CIS) FORTHE YEAR tock CORPORATION “GENERAL INSTRUCTIONS: FOR USER CORPORATION: THIS GIS SHOULD BE SUBMITTED WITHIN THIRTY (20) CALENDAR DAYS FROM THE DATE OF THE ANNUAL STOCKHOLDERS’ MEETING DO NOT LEAVE ANY ITEM BLANK. WRITE "NA" IF THE INFORMATION REQUIRED IS NOT APPLICABLE TO THE] "THAT STATED IN THE BY-LAWS THE GIs SHALL BE SUBMITTED WITHIN THIRTY (20) CALENDAR DAYS PROM THE ACTUAL DATE OF THE ANNUAL STOCKHOLDERS MEETING 2 IPNO MEETINGS HELD THE CORPORATION HALL SUBMIPTHE GIS NOT LATER THAN ANUARY 30 OF THE FOLLOWING YEAR, HOWEVER, sHoUto] [AN ANNUAL STOCKHOLDERS MEETING B HELD THEREAFTER A NEW Gis SHALL AE SUMIT7ED/FILED {TIS SHALL BE ACCOMPLISHED IN ENGLISH AND CERTIFIED AND SWORN TO BY THE CORPORATE SECRETARY OF THE CORPORATION. ‘THESECSHOULD RE TMELY APPRISED OF RELEVANT CHANGES INTHE SUBMITTED INFORMATION AS THEY ARISE. FOR CHANGES RESULTING FROM ACTIONS THAT AROSE BETWEEN THE ANNUAL MEETINGS, THE CORPORATION SHALL SUBMIT ONLY THE AFFECTED PAGE OF THE GIs RELATES 70 THE NEW INFORMATION TOGETHER WITHA COVER LETTER SIGNED BY THE CORPORATE SECRETARY OF THE CORPORATION. THE PAG OOP THE iS AND COVER LETTER SHALL BE SUBMITTED WITHIN SEVEN (7) DAVS AFTER SUCH CHANGE OCCURRED OR BECAME EFFECTIVE. Suorr FOUR (4) COPIES OF THE GIs TO THE CENTRAL RECEIVING SECTION, GROUND FLOOR SEC BLDG, EDSA, MANDALUYONG CIT. ALL COPIES SHALL UNIFORMLY EON AOR LETTER SYED PAPER WITH A STANDARD COVER PAGE. THE PAGES OF ALL COPIES SHALL USE ONLY ONE SIDE] {CoRPORATIONS SUBMITTING a COPY OF THEIR ls ONLINE OR Via IETERNET SHALL SUBMIT ONE (2) RARD COPY OF THE GS TOGETHER WITH ‘TIS Gls MAY BE USED AS EVIDENCE AGAINST THE CORPORATION AND ITS RESPONSIBLE DIRECTORS /OFICERS FOR ANY VIOLATION OF EXISTING AWS RULES AND REGULATIONS [conrowaTE ware DATE RRGITERED ausINESSTRADENAME: ee sca WEA |crORCoaTE OFANRTAT MEETING [aca [COMPLETE BUSINESS ADDRESS: SSE [RAN OF ERTERNAT AUDITOR FS STGNING PARTNER ERT RT RT| TTR PRIMARY PURPOSE] ACTIVITY INDUSTRY PRESENTLY ENGAGED STFCRTION —— | GEOGRAPHICNCODE—| PARENT COMPARY SEC REGISTRATION. ADDRESS [sory FROWN ADDRESGENERAL INFORMATION SHEET. STOCK CORPORATION PLEASE PRINT LEGIBLY = [CORPORATE NAME: CAPITAL STRUCTURE NUMBER OF ‘AMOUNT (PhP) ‘Tyee or suaness | MUMBERO PAR/STATED VALUE (oof shares X Par/stated Value) Tora SaRSCRRED CAPT — NumDan oF yao suanese | sumuenor |sttanesivrie] ean/stave | ur oor (greck, | temmorsianess | MStinas” |nawpsor me] "VALUE amour cere) | ountnsiur uBLIC* ronson | 10.00 | ease | somonor (stati e| easter | ugueryy | _s80e Percentage of Foreign Baul TOTAL [Fora Tora I "TOTAL SUBSCRIBED P| [PAID-UP CAPITAL NO.OF ruuteino | stock | rveeorsuaness | SUMBEROF | pquysrareD VALUE amounrernry — | 4288 Nowoens Tora] Toray #| FORETGN | WOOF INDICATE BY | STOCK- = —_7 \R/STATE LUE wor cimprcare | TYPEOPSHARES ARy/STATEDVAI amount crs) | ownenstu NATIONALITY) | HOLDERS SHARES Toray Toran] TOTALPAIDUP_P NOTE: USE ADDITIONAL SHEET IF NECESSARY. [Common Preferred or other casaeation = Other than Directors, Oficers, Shareholders owning 10) of atscnding are «is stock (72018) Page2GENERAL INFORMATION SHEET ‘STOCK CORPORATION PLEASE PRINT LEGIBLY ‘Is the Corporation a covered person under the Anti Money Laundering Act yes @ No (AMLA), as amended? (Rep. Acts. 9160/9164/10167/10365 [Please check the appropriate box: Ti Tanks Offshore Banking Units Quas-Banks Trust Eniies Non-Stock Savings and Loan Associations Pawnshops Foreign Exchage Dealers Jewelry dealers in precious stones, who, 35 ‘Money Changers sO business, trade in precious stone Remittance Agents Electronic Money Isuers Financial Institutions which Under Special Laws are subject to Bangko Sentral ng Pilipinas’ (BSP) supervision and/or regulation including ther subsidiaries and aflates. [5 __Iewelry deaters in precious metals, who, as a ‘business, trade in precious metals ooooo0o00000 Company service providers which, as a business, provide any ofthe following services to third partes: Tasurance Companies Insurance Agents Insurance Brokers Professional Reinsurers Reinsurance Brokers Holding Companies Holding Company Systems Pre-need C ‘Mutual Benefit Association All Other Persons and entities supervised and/or regulated by the Insurance Commission (IC) Ta aciingas a formation agent of juridical persons Cb acting as (or arranging for another person to act as) a| director or corporate secretary of a company, a partner ofa partnership, ora similar position in. relation to other juridical persons Cc providing a registered office, business address or accommodation, correspondence or administrative address for a company, a partnership or any other legal person or arrangement ocoo0 ooo LT a. Securities Dealers Ca. acting as (or arranging for another person to act as) a| Cb Securities Brokers nominee shareholder for another person LD a investment Houses Ti a managing of cient money, secures or other assets LE): avestment. Agents and Constants: Of trading Advisors 1 b. management of bank, savings or securities accounts C. ¢ Other entities managing Securities or rendering similar services (Cb, Mutual Funds or Open-end Investment Companies C c organization of contributions for the creation, 1. Close-end Investment Companies ‘operation or management of companies (Cj. Common Trust Funds or Issuers and other similar entities ( & Transfer Companies and other similar entities C4. creation, operation or management of juridical (BL other entities administering or otherwise dealing in currency, persone or arrangements, and buying and saling commodities or financial derivatives based there on business entities BL] None ofthe above nature of business: CO m. Entities administering of otherwise dealing in valuable objects Cn Entities administer ‘other similar monetary instruments or property supervised ‘and/or regulated by the Securities and Exchange Commission (se0) B- Has the Corporation complied with the Fequirements on Customer Due Diligence (CDD) or Know Your Customer (KYC), record-keeping, and submission of reports under the AMLA,as amended, since the last ling of ts GIS? ng or otherwise dealing in cash S ais stock (2018) 1A,GENERAL INFORMATION SHEET ‘STOCK CORPORATION PLEASE PRINT LEGIBLY [CORPORATE NAME: DIRECTORS / OFFICERS NAME AND NATIONALITY INCR BOARD ‘STOCK SEX | HOLDER OFFICER EXEC. COMM. We 3 7 INSTRUCTION FOR SEX COLUMN, PUT“F* FOR FEMALE, "we FOR MALE: FOR BOARD COLUMN, PUT °C" FOR CHAIRMAN, “AF FOR MEMBER," FOR INDEPENDENT OIRECTOR, FOR INCR COLUMN, PUT" IF AN INCORPORATOR, "NF NOT. FOR STOCKHOLDER COLUMN, PUT "IFA STOCKHOLOER, "NF NOT. FOR OFFICER COLUMN, INDICATE PARTICULAR POSITION IF AN OFFICER, FROM VP UP INCLUDING THE POSITION OF THE TREASURER. ‘SECRETARY, COMPLIANCE OFFICER ANDIOR ASSOCIATED PERSON FOR EXECUTIVE COMMITTEE. INDICATE “C"IF MEMBER OF THE COMPENSATION COMMITTEE; "A: FOR AUDIT COMMITTEE: "N" FOR NOMINATION ‘AND ELECTION COMMITTEE. ADDITIONALLY WRITE “C" AFTER SLASH IF CHAIRMAN AND "UF MEMBER, «ls sTock (02018) Page 3GENERAL INFORMATION SHEET STOCK CORPORATION PLEASE PRI NT LEGIBLY [CORPORATE NAME: [TOTAL ASSETS BASED ON LATEST AUDITED FINANCIAL STATEMENTS: ‘STOCKHOLDER’ ‘SINFORMATION NAME AND NATIONALITY ‘SHARES SUBSCRIBED AMOUNT (PRP) AMOUNT PAID (PnP) Tora TOTAL} TOTAL) TOTAL Tora Tora TOTAL "TOTAL AMOUNT OF SUBSCRIBED CAPITAL 0.00%] "TOTAL AMOUNT OF PAID-UP CAPITAL 0.00 INSTRUCTION: SPECIFY THE TOP 20 STOCKHOLDERS AND INDICATE THE REST AS OTHERS Tote For POTE Romine Included the hist please indicate farther the beneficial owners owning mare than 3% of any clas of he companys voting ecuriee.Atach separate sheet necessary. ais stock (v2 PageGENERAL INFORMATION SHEET STOCK CORPORATION PLEASE PRINT LEGIBLY [CORPORATE NAME: [TOTAL ASSETS BASED ON LATEST AUDITED FS STOCKHOLDER'S INFORMATION SHARES SUBSCRIBED NAME AND NATIONALITY wou | oF amour Paid on ‘SHIP TOTAL TOTAL TOTAL TOTAL ro TOTAL TOTAL TOTAL "TOTAL AMOUNT OF SURSCRIMED CAPITAL 0.00% 0.00 “TOTAL AMOUNT OF PAIDUP CAPITAL INSTRUCTION: SPECIFY THE TOP 20 STOCKHOLDERS AND INDICATE THE REST AS OTHERS |scurties Attach separate sheet. necessary. Note: For POTCNomince Included i thelist please indicate urter the beneficial owners owning more than 5% oF any class of he Companys VounG ais sock (2018)GENERAL INFORMATION SHEET. eonronave Name: AAMEAND WaTIONALETY we) wman | amour | oh vuete cv | Tom] ES Tae tr Te Pe onion TOTAL OUT OF SURSCRTBEDCAPTAL am TOTACAROUNTOF DUPER ane TRSTRUCTION SEC’ THE TOP 0 STOCKHOLDERS AND INDICATE THE REST AS OFWERG a a es i pa fr Dl one Sg me ar Say ope TR, HT saci)GENERAL INFORMATION SHEET STOCK CORPORATION PLEASE PRINT LEGIBLY === INAME OF CORPORATION: [CORPORATE SUBSCRINERS (FANT ‘STOCKHOLDERS INFORMATION ‘SHARES SUBSCRIBED NAME AND NATIONALITY — | AMOUNT ca) OF owNER- sip AMOUNT PAID (PnP) TOTAL TOTAL TOTAL TOTAL TOTAL TOTAL TOTAL [TOTAL AMOUNT OF SUBSCRIBED CAPITAL. [TOTAL AMOUNT OF PAID-U CAPITAL 0.00% 0.00 TRSTRUCTION: SPECIFY THE TOP 20 STOCKHOLDERS AND INDIGATE THE REST AS OTHERS Note Please Indicate further the beneficial owners owning at least more than 5% of en clas ofthe company's outstanding capal stock voting and non-voting). Attach separate sheet. fnecesary sTock(¥2018)GENERAL INFORMATION SHEET. STOCK CORPORATION PLEASE PRINT LEGIBLY INANE OF CORPORATION: [NAME / RESIDENTIAL ADDRESS (OPTIONAL) POSITION TITLE. NATIONALITY Ww. Tr NOTE: USE ADDI |ONAL SHEET IF NECESSARY Inote: Please indicate further the beneficial owners owning at least more than 5% of ay class ofthe company’s outstanding capital stock (voting and non-voting). Attach separate sheet. necessary. STOCK (2018) Page 62GENERAL INFORMATION SHEET STOCK CORPORATION PLEASE PRINT LEGIBLY [CORPORATE NAME: TIST OF STOCKHOLDERS DIRECTORS AND OFFICERS "TAX IDENTIFICATION NO. (TIN) INFORMATION NAME AND CURRENT RESIDENTIAL ADDRESS. NATIONALITY POSITION TIN 7 Th FoR POSITION COLUMN, PUT THE FOLLOWING IF APPLICABLE “for Chairman °M” for Member or Independent eto: and 5 for Schl ate Secretary etc }antor NOTE: USE ADDITIONAL SHEET IF NECESSARYGENERAL INFORMATION SHEET STOCK CORPORATION [CORPORATE NAME: iINVESTMENT OF CORPORATE AMOUNT (PHPY DATE OF BOARD RESOLUTION FUNDS IN ANOTHER CORPORATION TA STOCKS T2_BONDS/COMMERCIAL PAPER (Issued by Private Corporations) T3_LOANS/ CREDITS/ ADVANCES 74 GOVERNMENT TREASURY BILLS TS OTHERS INVESTMENT OF CORPORATE FUNDS IN ACTIVITIES UNDER TTS DATEOF BOARD DATEOF SECONDARY PURPOSES (PLEASE SPECIFY:) RESOLUTION STOCKHOLDERS e 2 RATIFICATION, [a TREASURY SHARES WASTOTHETOTAL NO. OF SHARES NO. OF SHARES ISSUED [4 UNRESTRICTED /UNAPPROPRIATED RETAINED EARNINGS AS OF END OF LAST FISCAL YEAR [5 DIVIDENDS DECLARED DURING THIE IMMEDIATELY PRECEDING YEAR, ‘TYPE OF DIVIDEND. AMOUNT (PhP) DATE DECLARED 5a_cASH 52 STOCK 5.3_ PROPERTY Torat_| P [¢. ADDITIONAL SHARES ISSUED DURING THE PERIOD: DATE NO. OF SHARES ‘AMOUNT, ISECONDARY LICENSE/ REGISTRATION WITH SEC AND OTHER GOV'T AGENCY INAME OF AGENCY: SEC BSP Te [TvPEOF ILICENSE/REGN. DATE ISSUED: DATESTARTED JOPERATIONS: ‘TOTAL ANNUAL COMPENSATION OF DIRECTORS DURING THE PRECEDING FISCAL YEAR (in PhP) ‘TOTAL NO.OF RANK & FILE EMPLOYEES. ‘TOTAL MANPOWER ‘TOTAL NO. OF OFFICERS ‘COMPLEMENT SSS GEADTORAT SET EEE Gis.stock (v.2018) Page7BENEFICIAL OWNERSHIP DECLARATION A. Natural person who ultimately owns or controls the corporation: COMPLETE NAME {Sorname,Given Name, Middle | SPECIFICRESIDENTIAL | NATIONALITY % OF TAX Name, Name Extension ADDRESS ownersitp | IDENTIFICATION Ties Je, Se) No. B, Natural person who exercises ultimate effective control! over the corporation: COMPLETE NAME (Sumame,Given Name, Middle | SPECIFIC RESIDENTIAL | NATIONALITY % OF Tax Name, Name Extension ADDRESS ownersiip | IDENTIFICATION fies} Sr.]) | NO, ‘CORPORATE STOCKHOLDERS: ULTIMATE BENEFICIAL OWNER® COMPLETE NAME CORPORATE NAME | (Surname, Given Name, | SPECIFIC Or ‘TAK AND Middle Name, Name” | RESIDENTIAL | NATIONALITY | owNERSHIP | IDENTIFICATION BUSINESS/TRADE, Extension ADDRESS NO. NAME fete, Se.) = ae —_{ —= OTHER STOCKHOLDERS: ‘A PARTNERSHIPS = T ULTIMATE BENEFICIAL OWNER® COMPLETE NAME PARTNERSHIP NAME | (Surname, Given Name, | SPECIFIC % OF TAX | Middle Name, Name | RESIDENTIAL | NaTIONALITy | owNERSHIP | IDENTIFICATION Extension ADDRESS No. fie. Je, Seti) i = B_ TRUSTS ULTIMATE BENEFICIAL OWNER® cca —| COMPLETE NAME T (Sumame,Civen Name, | speciric | NATIONALITY | 4% 0F tax NAME Middle Name, Name | RESIDENTIAL owners | IDENTIFICATION Extension ‘ADDRESS No. eer. Se I) "Refer to the definition of ultimate effective control under Section 22, of SEC Memors \dum Circular No. 17, series of 2018, ? Indicate the intermediate layers ofthe company's ownership structure, ifany, ina separate sheet and attach an ownership chart clearly showing the intermediate layers with their respective ownership amounts. 2 Refer to the definition of beneficial owner under Sections 2.1 and 2.2, of SEC Memorandum Circular No. 17, series of 2018. ‘Refers to the natural person who ultimately owns or controls the partnership or who exercises ultimate effective control over the partnership 5 Identity of the persons who control the trust and make the investment decisions; trust beneficiaries and the trustee; and individuals whe furnish funds inta the trust. Page 8p Corporate Secretary of declare under penalty of perjury that all matters set forth in this GIS have been duly verified by me and to the best of my knowledge and belief are true and correct. By indicating herein the personal information of the incorporators, stockholders, directors, officers, beneficial owners, external auditor, notary public and their agents, I attest that the aforementioned persons authorize the SEC to: (1) collect, process and store their personal information through the GIS forms and related documents, for the period allowed under the applicable laws and regulations; and (2) share with and make available the GIS to interested parties in order to pursue lawful purposes and legitimate interests, and comply with legal mandate. {also attest that the company and the aforementioned persons authorized the undersigned to file this GIS with SEC, and the information provided herein are true, accurate, timely and complete. | further attest that they are aware of their rights under the Data Privacy Act, including the right to be informed, to access, to object, to erasure or blocking, to damages, to file a complaint, to rectify and to data portability, and understand that there are procedures, conditions and exceptions to be complied with in order to exercise or invoke such rights. | likewise understand that the failure of the corporation to file this GIS for five (5) consecutive years shall be construed as non-operation of the corporation and a ground for the revocation of, the corporations’ certificate of incorporation in this eventuality, the corporation hereby waives its right to hearing for the said revocation. Done this day of. 20__in (Signature over printed name) SUBSCRIBED AND SWORN 70 before me in on by affiant who personally appeared before me and exhibited to me his/her competent evidence of identity consisting of issued at on NOTARY PUBLIC Page 9