GENERAL INFORMATION SHEET (GUS) PLEASE PRINTLEGIBLY

Transcription

1 (GUS) I GENERAL INSTRUCTIONS: 1_ JUL 1 5/1J15 FOR THE YEAR 2015 ] 1. FOR USER CORPORATION: THIS GIS SHOULD BE SUBMITTED WITHIN THIRTY (30) CALENDA* DS'S,ROM THE OF T E 4('4(. L STOCKHOLDERS MEETING. DO NOT LEAVE ANY ITEM BLANK. WRITE "NA.' IF THE INFORMATIThIQU!E1D IS NOT PLIIABLE TO I 1E CORPORATION OR 'NONE IF THE INFORMATION IS NON-EXISTENT. IF THE ANNUAL STOCKHOL3ERS' MEniE.qIJTE 0TH R THAN THAT STATED IN THE BY-LAWS THE GIS SHALL BE SUBMITTED WITHIN THIRTY (30) CALDAFR DAYS FROM T1( IF- ACTUAL _DATIF THE ANNUAL STOCKHOLDERS MEETING. - [ 2 IF NO MEETING IS HELD, THE CORPORATION SHALL SUBMIT THE GIS NOT LATER THAN JANUARY 30 OF THE FOLLOW YEAR HOWEVER, SHOULD AN ANNUAL STOCKHOLDERS 'MEETING BE HELD THEREAFTER, A NEW GIS SHALL BE SUBMITTED/FILED. j 3. THIS GIS SHALL BE ACCOMPLISHED IN ENGLISH AND CERTIFIED AND SWORN TO BY THE CORPORATE SECRETARY OF THE CORPORATION. 4, THE SEC SHOULD BE TIMELY APPRISED OF RELEVANT CHANGES IN THE 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 0(5 THAT RELATES TO THE NEW INFORMATION TOGETHER WITH A COVER LETTER SIGNED BY THE CORPORATE SECRETARY OF THE CORPORATION. THE PAGE OF THE 015 AND COVER LETTER SHALL BE SUBMITTED WITHIN SEVEN (7) DAYS AFTER SUCH CHANGE OCCURRED OR BECAME EFFECTIVE. 5. SUBMIT FOUR (4) COPIES OF THE GIS TO THE CENTRAL RECEIVING SECTION, GROUND FLOOR, SEC BLDG., EDSA, MANDALUVONG CITY. ALL COPIES SHALL UNIFORMLY BE ON A4 OR LETTER-SIZED PAPER WITH A STANDARD COVER PAGE. THE PAGES OF ALL COPIES SHALL USE ONLY ONE SIDE. CORPORATIONS SUBMITTING A COPY OF THEIR GIS ONLINE OR VIA INTERNET SHALL SUBMIT ONE (1) HARD COPY OF THE GIS, TOGETHER WITH A CERTIFICATION UNDER OATH BY ITS CORPORATE SECRETARY THAT THE COPY SUBMITTED ONLINE CONTAINS THE EXACT DATA IN THE HARD COPY 6. ONLY THE GIS ACCOMPLISHED IN ACCORDANCE NTH THESE INSTRUCTIONS SHALL BE CONSIDERED AS HAVING BEEN FILED. 7. THIS GIS MAY BE USED AS EVIDENCE AGAINST THE CORPORATION AND ITS RESPONSIBLE DIRECTORS/OFFICERS FOR ANY VIOLATION OF EXISTING LAWS, RULES AND REGULATIONS CORPORATE NAME: PLEASE PRINTLEGIBLY LORENZO SHIPPING CORPORAITON ( DATE REGISTERED: BUSINESS/TRADE NAME; SEC REGISTRATION NUMBER: Oct-72 FISCAL YEAREND: 31 December DATE OF ANNUAL MEETING PER BY-LAWS: Last Thursday of June CORPORATE TAX IDENTIFICATION NUMBER (TIN) ACTUAL DATE OF ANNUAL MEETING: 25 June 2015 COMPLETE PRINCIPAL OFFICE ADDRESS: 20th Floor, Times Plaza Building, UN Avenue, Ermita,ManIla WEBSITE/URL ADDRESS: ADDRESS: COMPLETE BUSINESS ADDRESS: FAX NUMBER: 20th Floor, Times Plaza Building, UN Avenue, Ermfta,Manlla (02) NAME OF EXTERNAL AUDITOR & ITS SIGNING PARTNER: SGV & COMPANY - Leovina Mae V. Chu applicable): 1199,A SEC ACCREDITATION NUMBER (if TELEPHONE NUMBER(S): (02) PRIMARY PURPOSE/ACTIVITY/INDUSTRY PRESENTLY ENGAGED IN: INDUSTRY CLASSIFICATION: GEOGRAPHICAL CODE: Containerized Shipping == ============= INTERCOMPANY AFFILIATIONS PARENT COMPANY SEC REGISTRATION NO. ADDRESS SUBSIDIARY/AFFILIATE SEC REGISTRATION NO. ADDRESS NOTE: USE ADDITIONAL SHEET IF NECESSARY GIS_STOCK(v.2013) P991

2 Corporate Name: PLEASE PRINT LEGIBLY =================== LORENZO SHIPPING CORPORATION A. Is the Corporation a covered person under the Anti Money Laundering Act (AMLA), as amended? (Rep. Acts ) Please check the appropriate box: Banks. Offshore Banking Units Quasi-Banks Trust Entities. Non-Stock Savings and Loan Associations. Pawnshops Foreign Exchage Dealers. Money Changers. Remittance Agents. Electronic Money Issuers. Financial Institutions which Under Special Laws are subject to Bangko Sentral ng Pilipinas' (BSP) supervision and/or regulation, including their subsidiaries and affiliates. 6 - Insurance Companies. Insurance Agents Yes No JZ Jewelry dealers in precious metals, who, as a 4 D business, trade in precious metals Jewelry dealers in precious stones, who, as a business, trade in precious stone Company service providers which, as a business, provide any of the following services to third parties: -. acting as a formation agent of juridical persons -, Insurance Brokers. acting as (or arranging for another person to act as). Professional Reinsurers, Reinsurance Brokers a director or corporate secretary of a company, a partner of a partnership, or a similar position in Holding Companies relation to other juridical persons. Holding Company Systems. Pie-need Companies. providing a registered office, business address or J. Mutual Benefit Association accommodation, correspondence or administrative All Other Persons and entities supervised and/or regulated by the Insurance Commission (IC) address for a company, a partnership or any other legal person or arrangement Securities Dealers. Securities Brokers. acting as (or arranging for another person to act as) a nominee shareholder for another person. Securities Salesman 7. Persons who provide any of the following services:. Investment Houses. managing of client money, securities or other assets Investment Agents and Consultants. Trading Advisors. management of bank, savings or securities Other entities managing Securities or rendering similar services accounts. Mutual Funds or Open-end Investment Companies. organization of contributions for the creation,. Close-end Investment Companies operation or management of companies j. Common Trust Funds or Issuers and other similar entities. Transfer Companies and other similar entities. creation, operation or management of juridical Other entities administering or otherwise dealing in currency, persons or arrangements, and buying and selling commodities or financial derivatives based there on business entities i. Entities administering of otherwise dealing in valuable objects 8. =None of the above r, Entities administering or otherwise dealing in cash Substitutes Describe nature of business: and other similar monetary instruments or property supervised and/or regulated by the Securities and Exchange Commission Containerized Shipping (SEC) B. Has the Corporation complied with the requirements on Customer Due Diligence (CDD) or Know Your Customer (KYC), record-keeping, and submission of reports under the AMLA, as amended, since the last filing of Its GIS? Yes EJ No EZ GIS_STOCK(v.2013) 1-A

3 PLEASE PRINT LEGIBLY =: AUTHORIZED CAPITAL STOCK CAPITAL STRUCTURE TYPE OF SHARES PARISTATED VALUE (No. of shares X Par/Stated Value) Common -991,183, O ,183,999 P 991,183, SUBSCRIBED CAPITAL NO.OF SHARESIN IOF FILIPINO STOCK- TYPE OF SHARES THE HANDS AMOUNT (PhP) SHARES VALUE OWNERSHIP HOLDERS OF THE PUBLIC" Common 554, ,642, % 554,642,251 P 554,642, FOREIGN NO.OF SHARESIN PAR/STATED /OF (INDICATE BY STOCK. TYPE OF SHARES' THE HANDS AMOUNT (PhP) SHARES VALUE OWNERSHIP NATIONALITY) HOLDERS OF THE * - PUBLIC" - Percentage of Foreign Equity: P SUBSCRIBED PI 554,642, PAID-UP CAPITAL NO.OF F I L I P I N 0 STOCK. TYPE OF SHARES %OF PAR/STATED VALUE AMOUNT (PhP) SHARES HOLDERS OWNERSHIP Common* 554,642, % 554,642, % 554,642,251 P 554,642, FOREIGN NO.OF (INDICATE BY STOCK- TYPE OF SHARES' PAR/STATED VALUE OF AMOUNT (PhP) SHARES NATIONALITY) HOLDERS OWNERSHIP 'Note refers to both FIL. And NON-FIL. May 0.00% P PAID-UP P 554,642, % NOTE: USE ADDITIONAL SHEET IF NECESSARY Common, Preferred or other classification Other than Directors, Officers, Shareholders owning 10% of outstanding shares. GIS STOCK (v.2013) Page 2

4 ================================ PLEASE PRINT LEGIBLY DIRECTORS I OFFICERS TAX IDENTIFICATION NO. NAME, NATIONALITY AND STOCK INC'R BOARD SEX OFFICER EXEC. (TIN) FOR FILIPINOS AND CURRENT REDEN11AL ADDRESS HOLDER FOREIGNERS 1. DORIS MAGSAYSAY HO N C F Y Chairperson E/C C/C 21 Tamarind Road, Forbes Park, Makati City 2. ANTONY LOUIS MARDEN N M M y Vice- N/C British Chairman A/M 28 C Middle Gap Road, Hong Kong E/M C/M 3. JULIO 0. SY, SR. N M M Y N/A /F Corinthian Plaza, Paseo de Roxas, Makati City 4. ROBERTO A. UMALI N M M Y President E/M & CEO 7/F Times Plaza, UN Avenue cor. Taft Avenue Ermita, Manila 5. MICHAEL L. ESCALER N M M Y -. N/A NM N/M Room 504 National Life Insurance Bldg., 6762 Ayala Ave., Makati City 6. DEOGRACIAS N. VISTAN N I M Y N/A NC N/M Unit Tower One & Exchange Plaza, C/M Ayala Ave., Makati City 7 EDGARDOA. BAUTISTA N I M Y N/A Cypress Street, Dasmarinas Village, Makati City S. JAY R. OLIVAREZ N N F N Chief Operating 15 Lily Street, Lexington Garden Village, San Officer Joaquin, _asig_city 9 ROMEO S. RUEDAS N N M N Chief Financial Officer/ Lot 5, BIk. 68, Lanao Street, Phase 10, South Treasurer City Homes, Binari, Laguna 10. FELICISIMO H. SALDAfA, JR. N N M N VP Operations No. 7 Rodriguez Ave., Brick Townhomes Subd., Paranaque City INSTRUCTIONS: FOR SEX COLUMN, PUT F" FOR FEMALE, "M" FOR MALE. FOR BOARD COLUMN, PUT "C" FOR CHAIRMAN, "M" FOR MEMBER, "I" FOR INDEPENDENT DIRECTOR. FOR INCR COLUMN, PUT'"?" IFAN INCORPORATOR, "N" IF NOT. FOR STOCKHOLDER COLUMN, PUT "r"' IF A STOCKHOLDER, "N" IF NOT. FOR OFFICER COLUMN, INDICATE PARTICULAR POSITION IF AN OFFICER, FROM VP UP INCLUDING THE POSITION OF THE TREASURER, SECRETARY, COMPLIANCE OFFICER AND/OR 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 "M" IF MEMBER. GIS_STOCK (v.2013) Page 3

5 PLEASE PRINT LEGIBLY DIRECTORS I OFFICERS TAX II)ENTIFICATION NO. NAME, NATIONALITY AND STOCK INC'R BOARD SEX OFFICER (N) FOR FILIPINOS AND CURRENT RESIDENTIAL ADDRESS HOLDER FOREIGNERS 11. EDRALIN C. MANAPSAL N N M N VP Sales and No. 54 Agno St., 6th Ave., Grace Park, Marketing Caloocan City 12. EDNA F. MENDIOLA N N F N Compliance Officer 20 Lt. Tiamcik, Pateros, Metro Manila 13. ARSENIO C. CABRERA, JR. N N M V Corporate Secretary 506 Batangas East, Ayala Alabang, Muntinlupa_City 14. ANNA CARMINA S. HERRERA N NJ F N Assistant Corporate 888 Yale Street, Wack-Wack Village, Secretary Mandaluyong_City 15, INSTRUCTIONS' FOR SEX COLUMN, PUT "F" FOR FEMALE, "M" FOR MALE. FOR BOARD COLUMN, PUT 'C" FOR CHAIRMAN. "M' FOR MEMBER, "I" FOR INDEPENDENT DIRECTOR. FOR INC'R COLUMN, PUT "r IF AN INCORPORATOR, "N" IF NOT. FOR STOCKHOLDER COLUMN, PUT "Y" IF A STOCKHOLDER, "N" IF NOT. FOR OFFICER COLUMN, INDICATE PARTICULAR POSITION IF AN OFFICER, FROM \'P UP INCLUDING THE POSITION OF THE TREASURER, SECRETARY, COMPLIANCE OFFICER AND/OR 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 "M" IF MEMBER. GIS_STOCK (v.2013) Page 3

6 PLEASE PRINT LEGIBLY == STOCKHOLDERS: 944 1NO. OF STOCKHOLDERS WITH 100 OR MORE SHARES EACH: 939 ASSETS BASED ON LATEST AUDITED FINANCIAL STATEMENTS: P 3,206,831,791 STOCKHOLDER'S INFORMATION NAME, NATIONALITY AND CURRENT RESIDENTIAL ADDRESS TYPE SHARES SUBSCRIBED AMOUNT NUMBER (PhP) % OF OWNER- SHIP AMOUNT PAID (PhP) TAX IDENTIFICATION NO. (TIN) FOR FILIPINOS AND FOREIGNERS 1. PLEASE SEE ANNEX "A AMOUNT OF SUBSCRIBED CAPITAL % AMOUNT OF PAID-UP CAPITAL 0100 INSTRUCTION SPECIFY THE TOP 20 STOCKHOLDERS AND INDICATE THE REST AS OTHERS Note: For PDTC Nominee included in the list, please indicate further the beneficial owners owning more than 5% of any class of the company's voting securities. Attach separate sheet, if necessary. GIS_STOCK (v.2013) Page

7 ================================ PLEASE PRINT LEGIBLY STOCKHOLDERS: 944 1N0. OF STOCKHOLDERS WITH 100 OR MORE SHARES EACH: 939 ASSETS BASED ON LATEST AUDITED FINANCIAL STATEMENTS: P 3,206,831,791 STOCKHOLDER'S INFORMATION NAME, NATIONALITY AND CURRENT RESIDENTIAL ADDRESS TYPE SHARES SUBSCRIBED NUMBER AMOUNT (PhP) % OF OWNERS SHIP AMOUNT PAID (PhP) TAX IDENTIFICATION NO. (TIN) FOR FILIPINOS AND FOREIGNERS , 14. AMOUNT OF SUBSCRIBED CAPITAL AMOUNT OF PAID-UP CAPITAL INSTRUCTION: SPECIFY THE TOP 20 STOCKHOLDERS AND INDICATE THE REST AS OTHERS Note: For PDTC Nominee included in the list, please indicate further the beneficial owners owning more than 5% of any class of the company's voting securities. Attach separate sheet, if necessary. GIS STOCK (v.2013) Page

8 PLEASE PRINT LEGIBLY STOCKHOLDERS: 944 1N0 OF STOCKHOLDERS WITh 100 OR MORE SHARES EACH: 939 ASSETS BASED ON LATEST AUDITED FINANCIAL STATEMENTS: P 3,206831,791 NAMES NATIONALITY AND CURRENT RESIDENTIAL ADDRESS - TYPE STOCKHOLDER'S INFORMATION SHARES SUBSCRIBED NUMBER AMOUNT (PhP) % OF OWNER- SHIP (PhP) TAX IDENTIFICATION NO. (TIN) FOR FILIPINOS AND FOREIGNERS IS. 20, 21. OTHERS (Indicate the number of the remaining stockholders) AMOUNT OF SUBSCRIBED CAPITAL AMOUNT OF PAID-UP CAPITAL INSTRUCTION: SPECIFY THE TOP 20 STOCKHOLDERS AND INDICATE THE REST AS OTHERS Note: For POTC Nominee Included In the list please indicate further the beneficial owners owning more than 5% of any class of the company's voting securities. 4ttach separate sheet if necessary. GIS_STOCK (v.2013) Page

9 PLEASE PRINT LEGIBLY 1. INVESTMENT OF CORPORATE AMOUNT (PhP) FUNDS IN ANOTHER CORPORATION 1.1 STOCKS NONE DATE OF BOARD RESOLUTION 1.2 BONDS/COMMERCIAL PAPER (Issued NONE by Private Corporations) 1.3 LOANS/ CREDITS/ ADVANCES NONE 1.4 GOVERNMENT TREASURY BILLS NONE 1.5 OTHERS NONE 2. INVESTMENT OF CORPORATE FUNDS IN ACTIVITIES UNDER ITS SECONDARY PURPOSES (PLEASE SPECIFY:) DATE OF BOARD RESOLUTION DATE OF STOCKHOLDERS... NONE 3. TREASURY SHARES NO, OF SHARES %AS TO THE NO. OF SHARES ISSUED 1,010, % 4. UNRESTRICTED/UNAPPROPRIATED RETAINED EARNINGS AS OF END OF LAST FISCAL YEAR 5. DIVIDENDS DECLARED DURING THE IMMEDIATELY PRECEDING YEAR: TYPE OF DIVIDEND AMOUNT (PhP) DATE DECLARED 5.1 CASH 11,092,845,02-30 April STOCK 5.3 PROPERTY 6. ADDITIONAL SHARES ISSUED DURING THE PERIOD: DATE NO. OF SHARES AMOUNT N/A N/A N/A SECONDARY LICENSE/REGISTRATION WITH SEC AND OTHER GOVT AGENCY: NAME OF AGENCY: SEC BSP IC TYPE OF Certificate of Permit to Offer N/A N/A LICENSEJREGN. Securities for Sale DATE ISSUED: 31 May 1995 N/A N/A DATE STARTED N/A 17 October 1972 OPERATIONS: ANNUAL COMPENSATION OF NO. OF OFFICERS DIRECTORS DURING THE PRECEDING 10 FISCAL YEAR (in PhP) P1.1 million NO. OF RANK & FILE EMPLOYEES 81 N/A MANPOWER COMPLEMENT 289 (Land Based -162 Sea Based -127 GIS_STOCK (v.2013) Page 7

10 I, ARSENIO C. CABRERA, JR., Corporate Secretary OF THE ABOVE-MENTIONED (NAME) (POSITION) CORPORATION DECLARE UNDER THE PENALTY OF PERJURY, THAT ALL MATTERS SET FORTH IN THIS GENERAL INFORMATION SHEET WHICH CONSISTS OF NINE (9) PAGES HAVE BEEN MADE IN GOOD FAITH, DULY VERIFIED BY ME AND TO THE BEST OF MY KNOWLEDGE AND BELIEF, ARE TRUE AND CORRECT, I 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 A HEARING FOR THE SAID REVOCATION ) DONE THIS 13TH DAY OF JULY 2015 IN MAKATI CITY. SUBSCRIBED AND SWORN TO BEFORE ME IN MAKATI CITY, PHILIPPINEt ON 13 JULY 2015, AFFIANTI PERSONALLY APPEARED BEFORE ME AND EXHIBITED TO ME HIS PASSPORT NO EB ISSUED ON FEBRUARY 2012 AT DFA, MANILA. DOC.NO: PAGE NO. BOOK NO, SERIES OF 2015 CLARISSE E! J Notary F.!h1i Until 31 Deco :o 1015 PTR No / Makti / L) Jar 1BF Llil 11, J.ppcint No. M53U RI) LL OFA'rTORNEYNO. fl' 51'F GV II BLDG., 6758 GIS_STOCK (v.2013) Page 8

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12 CERTIFICATION 11 I, ARSENIO C. CABRERA, JR.,, of Ugal, address at the 5th Floor, SGV II Building, 6758 Ayala Anue, I after having been sworn in accordance with law, depose and state I I am the duly elected and qualified Corporate Secretary of LORENZO SHIPPING CORPORATION, INC. (the "Corporation"), a corporation duly organized and existing under and by virtue of the laws of the Philippines, with office address at the 20th Floor, Times Plaza Building, United Nations Avenue, Ermita, Manila. 2. I hereby certify that the electronic file of the Corporation's Amended General Information Sheet for 2015 is in the same form and format as the hard copy of the Amended General Information Sheet for 2015 filed with the Securities and Exchange Commission. 3. The foregoing is in accordance with the records of the Corporation in my possession. IN WITNESS WHEREOF, I have hereunto affixed nttsignature this 13th day of July 2015 at Makati City. / I, REPUBLIC OF THE PHILIPPINES) MAKATI CITY )S.S. ARSENIO (L CABRERA, JR. Corpc/ate Secretary SUBSCRIBED AND SWORN to before me this 13th day of July 2015 in Makati City, affiant exhibiting to me his Passport No. EB issued on 9 February 2012 at DFA, Manila. _ Doc. No. ; CLARISSI V Page No..; Book No. 1 3 VFR No. 4Th!F32 \ Series of 2015.,'9 Januar 2i IBP LM No. O.222 a/ LiLjmc. Appoini i. No. M-5?0 ROLL FArrc'Ri:Ey O /F SOY II BLDG., 678 AYALA A\' MAKATI CITY