PLDT July 09, 2018 Philippine Stock Exchange Disclosure Department 6th Floor Philippine Stock Exchange Tower 28 th Street corner 5 th Avenue Bonifacio Global City, Taguig City Gentlemen: Attention: Ms. Janet A. Encarnacion Head, Disclosure Department We are submitting herewith the Statement of Changes in Beneficial Ownership of Securities (Form 23-B) in the Capital Stock of PLDT Inc., showing the changes in the shareholdings of Messrs. Manuel V. Pangilinan, James L. Go and Luis Ignacio A. Lopa for the month of June 2018. The original signed Form 23-B of Mr. James L Go will be filed immediately upon our receipt thereof. Thank you. Very truly yours, PLDT Inc. MA. LOURDES C. RAUSAIHA Corporate Secretary PLDT General Office P.O. Box 2148 Makati City, Philippines P L D 1
PLDT July 09, 2018 Securities and Exchange Commission Ground Floor Secretariat Building, PICC Complex, Roxas Boulevard, Pasay City 1307 Attention: Mr. Vicente Graciano P. Felizmenio, Jr. Director Markets and Securities Regulation Dept. Gentlemen: We are submitting herewith the Statement of Changes in Beneficial Ownership of Securities (Form 23-B) in the Capital Stock of PLDT Inc., showing the changes in the shareholdings of Messrs. Manuel V. Pangilinan, James L. Go and Luis Ignacio A. Lopa for the month of June 2018. The original signed Form 23-B of Mr. James L. Go will be filed immediately upon our receipt thereof. Thank you. Very truly yours, PLDT Inc. MA. LOURDES C. RAUSA-CHAN Corporate Secretary PLDT General Office P.O. Box 2148 Makati City, Philippines PLD 1
COVER SHEET SEC Registration Number 5 5 PLDT INC. Company Name (FORMERLY DI STANCE PHILIPPINE LONG TELEPHONE COMPANY) Principal Office (No./Street/Barangay/Citynown/Proyince) RAMON COJU ANGCO BUILD INC MAKAT I AVENUE MAKA TI CITY Form Type 2 3 Department requiring the report Secondary License Type, If Applicable Company's Email Address COMPANY INFORMATION Company's Telephone Number/s 816-8553 Mobile Number No. of Stockholders 11,679 As of June 30,2018 Annual Meeting Month/Day Every rd Tuesday of June Fiscal Year Month/Day December 31 Name of Contact Person Atty. Ma. Lourdes C. Rausa-Chan CONTACT PERSON INFORMATION The designated contact person MUST be an Officer of the Corporation Email Address Irchan@pldt.com.ph Contact Person's Address Telephone Number/s 816-8553 9/F MGO Building, Legaspi cor. Dela Rosa Streets, Makati City Mobile Number Note: In case of death, resignation or cessation of office of the officer designated as contact person, such incident shall be reported to the Commission within Thirty (30) calendar days from the occurrence thereof with information and complete contact details of the new contact person designated.
SECURITIES AND EXCHANGE COMMISSION CURRENT REPORT UNDER SECTION 17 OF THE SECURITIES REGULATION CODE AND SRC RULE 17.1 July 09, 2018 of Report ( of earliest event reported) SEC Identification Number PW-55 BIR Tax Identification No. 000-488-793 PLDT Inc. Exact name of issuer as specified in its charter PHILIPPINES 6. (SEC Use Only) Province, country or other jurisdiction Industry Classification Code of Incorporation Ramon Cojuangco Building, Makati Avenue, Makafi City 1200 Address of principal office Postal Code (632) 816-8553 Issuer's telephone number, including area code Not Applicable Former name or former address, if changed since last report Securities registered pursuant to Sections 8 and 12 of the Securities Regulation Code and Sections 4 and 8 of the Revised Securities Act Title of Each Class Number of Shares of Common Stock Outstanding and Amount of Debt Outstanding
111111111111111111111111111111111111111111111111111111111111111111111111IIIIIIIIIIIII 107 92018003594 SECURITIES AND EXCHANGE COMMISSION SECBuilding, EDSA, Greenhills,MandaluyongCity,MetroManila, Philippines Tel:(632) 726-0931 to 39 Fax:(632) 725-5293 Email: mis sec.gov.ph Barcode Page The following document has been received: Receiving Officer/Encoder : Ramon L. Legaspi Receiving Branch : SEC Head Office Receipt and Time : July 09, 2018 05:06:58 PM Received From : Head Office Company Representative Doc Source Company Information SEC Registration No. PW00000055 Company Name PLDT INC. Industry Classification Company Type Stock Corporation Document Information Document ID 107092018003594 Document Type Document Code 236 Period Covered June 30, 2018 No. of Days Late 0 Department Statement of Changes in the Beneficial Ownership CFD Remarks PANGILINAN, MANUEL V.
FORM 23-B ri Check box if no longer subject to filing requirement SECURITIES AND EXCHANGE COMMISSION Metro Manila, Philippines STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 23 of the Securities Regulation Code 1. Name and Address of Reporting Person PANGILINAN, MANUEL V. 0-es0 (Faso (Muffle) 7th Floor Ramon Cojuangco Bldg., (Street) Makati City, Metro Manila (City) (Province) (Postal Code) 2. Issuer Name and Trading Symbol 3. Tax Idenbfication Number 0 Citizenship 914-481-801 Filipino PLDT Inc. (TEL) Statement for Month/Year June 2018 If Amendment, of Original (MontnYear) N/A 7 Relationship of Reponmg Person to Issuer (Check all applicable) x Director 10% Owner x Officer Other (give title below) (specify below) Table 1 - Equity Securities Beneficially Owned Chairman, President and CEO I. Class of Equib/ Security 2. Transaction Dale (MonlVDay/Year) 4. Securities Acquired (A) or Disposed f (D) 3. Amount of SecuMies Owned at End of Month 4 Ownership Form: arena (L) or indirect (1) Number of Shares 6. Nature of indirect Beneficial ownership Amount (A) or (D) Price Common Capital Stock June/29/2018 720 A P1,247.00/ 0.002517% 5,506 I Thru PCD June/29/2018 1,280 A P1,248.00/ (PCD) (shares) share 0.115847% 253,450 D N/A (Certificated) TOTAL 0.118364% 258,956 NOTE: No transaction since the last filing of SEC Form 23-B on June 25, 2018 Note: Total issued and outstanding shares a of June 30, 2018 = 218.779,886 If the change in beneficial ownership is 50% of the previous shareholdings or is equal to 5% of the outstanding capital stock of the issuer, provide the disclosure requirements set forth on page 3 of this form. (Print or Type Responses) Reminder Report on a separate line tor each class of equity securities beneficially owned directly or indirectly (1) A person is directly or indirectly the beneficial owner of any equity security with respect to which he has or shares: Voting power...ilia includes the power to vote, 01 10 direct the voting of, suck security; and/or Investment power which includes the power to dispose of, or to direct the disposition of. such security. (2) A person will be deemed to have an indirect beneficial interest in any equity security which is: held by Members of a person's Immediate family sharing the same household; held by a partnership in which such person is a general partner held by a corporation of which such person is a controlling shareholder, or subject to any contract, arrangement or understanding which gives with person voting power Or investment rasped to such security.
FORM 23-B (continued) Table II - Derivative Securities Acquired Disposed of. or Beneficially Owned (e.g., warrants, options, convertible securities) 1. Derivative Security 2. Conversion or Exercise Price of Derivative Security -3. Transaction (Month/Day/Yr) 4. Number of Derivative Securities Acquired (A) or Disposed of (D) Amount (A) or (D) 3 Exercisable and Expiration (Month/Day/Year) tate Exercisable Expiration 6. Title and Arnount of Underlying Securities Title Amount or Number of Shares /. Price of Derivative Security 8. No. of Derivative Securities Beneficially Owned at End of Month 9. Ownership Form of Derivative Security; Direct ID) Or indirect th 10. Nature of Indirect Beneficial Ownership NA NA NA NA NA NA NA NA NA NA NA NA NA Explanation of Responses Note: File three (3) copies of this form, one of which must be manually signed. Attach additional sheets if space provided is insufficient.
DISCLOSURE REQUIREMENTS IN CASE OF MATERIAL CHANGES IN BENEFICIAL OWNERSHIP (50% INCREASE/DECREASE OR EQUIVALENT TO 5% OF THE OUTSTANDING CAPITAL STOCK OF ISSUER) Item 1. Security and Issuer State the title of the class of equity securities to which this Form relates and the name and address of the principal executive offices of the issuer of such securities. Item 2. Identity and Background If the person filing this Form is a corporation, partnership, syndicate or other group of persons, state its name, the province, country or other place of its organization, its principal business, the address of its principal office and the information required by (d) and (e) of this Item. If the person filing this statement is a natural person, provide the information specified in (a) through (f) of this Item with respect to such person(s). a Name; b Residence or business address; c. Present principal occupation or employment and the name, principal business and address of any corporation or other organization in which such employment is conducted; d Whether or not, during the last five years, such person has been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors) and, if so, give the dates, nature of conviction, name and location of court, any penalty imposed, or other disposition of the case; Whether or not, during the last five years, such person was a party to a civil proceeding of a judicial or administrative body of competent jurisdiction, domestic or foreign, and as a result of such proceeding was or is subject to any order, judgment or decree, not subsequently reversed suspended or vacated, permanently or temporarily enjoining, barring, suspending or otherwise limiting involvement in any type of business, securities, commodities or banking; and Citizenship. Item 3. Purpose of Transaction State the purpose or purposes of the acquisition of securities of the issuer Describe any plans or proposals which the reporting persons may have which relate to or would result in: The acquisition by any person of additional securities of the issuer, or the disposition of securities of the issuer; An extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the issuer or any of its subsidiaries; A sale or transfer of a material amount of assets of the issuer or of any of its subsidiaries; Any change in the present board of directors or management of the issuer, including any plans or proposals to change the number or term of directors or to fill any existing vacancies on the board; Any material change in the present capitalization or dividend policy of the issuer; Any other material change in the issuers business or corporate structure; Changes in the issuers charter, bylaws or instruments corresponding thereto or other actions which may impede the acquisition of control of the issuer by any person; Causing a class of securities of the issuer to be delisted from a securities exchange; Any action similar to any of those enumerated above. Item 4. Interest in Securities of the Issuer a. State the aggregate number and percentage of the class of securities identified pursuant to Item 1 beneficially owned (identifying those shares which there is a right to acquire within thirty (30) days from the date of this report) by each person named in Item 2. The abovementioned information should also be furnished with respect to persons who, together with any of the persons named in Item 2, comprise a group.
For each person named in response to paragraph (a), indicate the number of shares as to which there is sole power to vote or to direct the vote, shared power to vote or to direct the vote, sole or shared power to dispose or to direct the disposition. Provide the applicable information required by Item 2 with respect to each person with whom the power to vote or to direct the vote or to dispose or direct the disposition is shared. Describe any transaction in the class of securities reported on that were effected during the past sixty (60) days by the persons named in response to paragraph (a). The description shall include, but not necessarily be limited to: (1) the identity of the person who effected the transaction; (2) the date of the transaction; (3) the amount of securities involved; (4) the price per share or unit; and (5) where or how the transaction was effected. If any other person is known to have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of such securities, a statement to that effect should be included in response to this Item and, if such interest relates to more than five (5%) percent of the class, such person should be identified. If the filing is an amendment reflecting the fact that the reporting person has ceased to be the beneficial owner of more than five (5%) percent of the class of securities, state the date on which such beneficial ownership was reduced. Item 5. Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer Describe any contract, arrangement, understanding or relationship among the person named in Item 2 and between such persons and any person with respect to any securities of the issue, including but not limited to transfer or voting of any of the securities, finder's fees, joint ventures, loan or option arrangements, puts or calls, guarantees of profits, division of profits or loss, or the giving or withholding of proxies, naming the person with whom such contracts, arrangements, understandings or relationships have been entered into. Include such information for any of the securities that are pledged or otherwise subject to a contingency the occurrence of which would give another person voting power or investment power over such securities except that disclosure of standard default and similar provisions contained in loan agreements need not be included. Material to be Filed as Exhibits Copies of all written agreements, contracts, arrangements, understandings, plans or proposals relating to: the acquisition of issuer control, liquidation, sale of assets, merger, or change in business or corporate structure or any other matter as disclosed in Item 3; and the transfer or voting of the securities, finder's fees joint ventures, options, puts, calls, guarantees of loans, guarantees against losses or the giving or withholding of any proxy as disclosed in Item 5. After reasonable inquiry and to the best of my kn7lec ti e and belief, I certify that the information set forth in this Report is true, complete and accurate. This report is signed in the City of Makati on l' "" 1.45 k g By: so.)cv (Signature of Reporting Person) MANUEL V. PANGILINAN Chairman, President and CEO (Name/Title)
1111111111111111111111111111111111111111111111111111111111111111111111111111111111111 6 62018 SECURITIES AND EXCHANGE COMMISSION SECBuilding, EDSA,Greenhills,MandaluyongCity,MetroManila,Philippines Tel:(632) 726-0931 to 39 Fax:(632) 725-5293 Email: mis@sec.gov.ph Barcode Page The following document has been received: Receiving Officer/Encoder : Ramon L. Legaspi Receiving Branch : SEC Head Office Receipt and Time : July 09, 2018 05:08:13 PM Received From : Head Office Company Representative Doc Source Company Information SEC Registration No. PW00000055 Company Name PLDT INC. Industry Classification Company Type Stock Corporation Document Information Document ID 107092018003596 Document Type Statement of Changes in the Beneficial Ownership Document Code 23B Period Covered June 30, 2018 No. of Days Late 0 Department CFD Remarks GO, JAMES L.
SECURITIES AND EXCHANGE COMMISSION Metro Manila, Philippines FORM 23-B Check box if no longer subject to filing requirement STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 23 of the Securities Regulation Code REVISED- 1. Name and Address of Reporting Person GO, JAMES L. (Last) (First) (Middle) 43/F Robinsons Equitable Tower, ADB Ave. (Street) Ortigas Center, Pasig City (City) (Province) (Postal Code) 2. Issuer Name and Trading Symbol 3. Tax Identification Number 4. Citizenship 124-292-200 Filipino PLDT Inc. (TEL) 5. Statement for Month/Year June 2018 6. If Amendment, of Original imontnyeart N/A 7. Relationship of Reporting Person to Issuer _X_ Director Table 1 - Equity Securities Beneficially Owned Officer wive use uwivw i (Check at applicable) 10% Owner Other {5inA4,1"WWI 1. Class of Equity Security 2. Transaction (Month/Day(Year) 4. Securities Acquired (A) or Disposed 01(D) 3 Amount of Securitie Owned at End of Month 4 Ownership Form: 6. Nature of Indirect Beneficial uirect 04 or Indirect (I) ' Ownership % Number of Shares Amount (A) or (D) Price Common Capital Stock June/18/2018 7,500 A P1,246.6667/ 0.062124% 135,914 D N/A June/19/2018 2,500 A P1,220.00/ (certificated) (shares) share 0.004570% 10,000 I Thru PCD (PCD) 0.066694% 145,914 NOTE: Llast filing of SEC Form 23-B on June 25, 2018 TOTAL If the change in beneficial ownership is 50% of the previous shareholdings or is equal to 5% of the outstanding capital stock of the issuer, provide the disclosure requirements set forth on page 3 of this form. NOTE: Total issued and outstanding shares as of June 30, 2018 = 218,779,886 shares (Print or Type Responses) Remir1cier Report on a separate line for each data of equity securities beneficially owned directly or indirectly. A person is directly or inclirectiy the beneficial owner of any equity security with respect to which he has or shares: (A) Voting power which includes the power to vote, or to direct the voting of, such security: and/or (13) Investment power which includes the power to dispose of, or to direct the disposition of, such security. A person will be deemed to have an indirect beneficial interest in any equity security which is: (A) held by members of a person's immediate family sharing the same household; (8) held by a partnership in which such person is a general partner: ID) held by a corporation of which such person is a controlling shareholder: or (D) subject to any contract, arrangement or understanding which gives such person voting power or investment power with respect to such security.
FORM 23-B (continued) Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., warrants, options, convertible securities) 1. Derivative Security T.-Conversion or Exercise Price of Derivative Security -3. Transaction (MontIVDay/Yr) 47Number of Derivative Securities Acquired (A) or Disposed of (D) Amount (A) or (D) 3 Exercisable and Expiration (Month/Day/Year) Exercisable 6. Title and Amount of Underlying Securities 7. Price of Derivative Security 8. No of Derivative Securities Beneficially Owned at End of Month 9 Ownership Form of Derivative Security; Direct (D) or indirect NA NA NA NA NA NA NA NA NA NA NA NA NA Expiration Title Amount or Number of Shares 10. Nature of Indirect Beneficial Ownership Explanation of Responses. Note. File three (3) copies of this form, one of which must be manually signed Attach additional sheets if space provided is insufficient.
DISCLOSURE REQUIREMENTS IN CASE OF MATERIAL CHANGES IN BENEFICIAL OWNERSHIP (50% INCREASE/DECREASE OR EQUIVALENT TO 5% OF THE OUTSTANDING CAPITAL STOCK OF ISSUER) Item Security and Issuer 1. State the title of the class of equity securities to which this Form relates and the name and address of the principal executive offices of the issuer of such securities. Item Identity and Background 2. If the person filing this Form is a corporation, partnership, syndicate or other group of persons, state its name, the province, country or other place of its organization, its principal business, the address of its principal office and the information required by (d) and (e) of this Item. If the person filing this statement is a natural person, provide the information specified in (a) through (f) of this Item with respect to such person(s). a Name; Residence or business address. Present principal occupation or employment and the name, principal business and address of any corporation or other organization in which such employment is conducted; Whether or not, during the last five years, such person has been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors) and, if so, give the dates, nature of conviction, name and location of court, any penalty imposed, or other disposition of the case; Whether or not, during the last five years, such person was a party to a civil proceeding of a judicial or administrative body of competent jurisdiction, domestic or foreign, and as a result of such proceeding was or is subject to any order, judgment or decree, not subsequently reversed, suspended or vacated, permanently or temporarily enjoining, barring, suspending or otherwise limiting involvement in any type of business, securities, commodities or banking; and Citizenship. Item Purpose of Transaction 3. State the purpose or purposes of the acquisition of securities of the issuer. Describe any plans or proposals which the reporting persons may have which relate to or would result in: The acquisition by any person of additional securities of the issuer, or the disposition of securities of the issuer An extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the issuer or any of its subsidiaries; A sale or transfer of a material amount of assets of the issuer or of any of its subsidiaries; Any change in the present board of directors or management of the issuer, including any plans or proposals to change the number or term of directors or to fill any existing vacancies on the board; Any material change in the present capitalization or dividend policy of the issuer Any other material change in the issuer's business or corporate structure; Changes in the issuer's charter, bylaws or instruments corresponding thereto or other actions which may impede the acquisition of control of the issuer by any person; Causing a class of securities of the issuer to be delisted from a securities exchange; i. Any action similar to any of those enumerated above. Item Interest in Securities of the Issuer 4. a. State the aggregate number and percentage of the class of securities identified pursuant to Item 1 beneficially owned (identifying those shares which there is a right to acquire within thirty (30) days from the date of this report) by each Person named in Item 2. The abovementioned information should also be furnished with respect to persons who, together with any of the persons named in Item 2, comprise a group.
For each person named in response to paragraph (a), indicate the number of shares as to which there is sole power to vote or to direct the vote, shared power to vote or to direct the vote, sole or shared power to dispose or to direct the disposition. Provide the applicable information required by Item 2 with respect to each person with whom the power to vote or to direct the vote or to dispose or direct the disposition is shared. Describe any transaction in the class of securities reported on that were effected during the past sixty (60) days by the persons named in response to paragraph (a). The description shall include, but not necessarily be limited to: (1) the identity of the person who effected the transaction; (2) the date of the transaction; (3) the amount of securities involved; (4) the price per share or unit; and (5) where or how the transaction was effected. If any other person is known to have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of such securities, a statement to that effect should be included in response to this Item and, if such interest relates to more than five (5%) percent of the class, such person should be identified. If the filing is an amendment reflecting the fact that the reporting person has ceased to be the beneficial owner of more than five (5%) percent of the class of securities, state the date on which such beneficial ownership was reduced. Item Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer Describe any contract, arrangement, understanding or relationship among the person named in Item 2 and between such persons and any person with respect to any securities of the issue, including but not limited to transfer or voting of any of the securities, finder's fees, joint ventures, loan or option arrangements, puts or calls, guarantees of profits, division of profits or loss, or the giving or withholding of proxies, naming the person with whom such contracts, arrangements, understandings or relationships have been entered into. Include such information for any of the securities that are pledged or otherwise subject to a contingency the occurrence of which would give another person voting power or investment power over such securities except that disclosure of standard default and similar provisions contained in loan agreements need not be included. Item Material to be Filed as Exhibits Copies of all written agreements, contracts, arrangements, understandings, plans or proposals relating to: a the acquisition of issuer control, liquidation, sale of assets, merger, or change in business or corporate structure or any other matter as disclosed in Item 3; and b the transfer or voting of the securities, finder's fees, joint ventures, options, puts, calls, guarantees of loans, guarantees against losses or the giving or withholding of any proxy as disclosed in Item 5. After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this Report is true, complete and accurate. This report is signed in the City of on By: (Signature of Reporting Person) JAMES L. GO Director
1111111111111111111111111111111111111111111111111111111111111111111111111111111111111 4 SECURITIES AND EXCHANGE COMMISSION SECBuilding EDS& Greenhills.MandaluyongCity, MetroManila, Philippines Tel:(632) 726-0931 to 39 Fax: (632) 725-5293 Email: mis@sec.gov.ph 107 Barcode Page The following document has been received: Receiving Officer/Encoder : Ramon L. Legaspi Receiving Branch : SEC Head Office Receipt and Time : July 09, 2018 05:09:14 PM Received From : Head Office Company Representative Doc Source Company Information SEC Registration No. PW00000055 Company Name PLDT INC. Industry Classification Company Type Stock Corporation Document Information Document ID 107092018003604 Document Type Statement of Changes in the Beneficial Ownership Document Code 23B Period Covered June 30, 2018 No. of Days Late 0 Department CFD Remarks LOPA, LUIS IGNACIO ARANETA
SECURITIES AND EXCHANGE COMMISSION Metro Manila, Philippines FORM 23-B F-1 Check box if no longer subject to filing requirement STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 23 of the Securities Regulation Code 1. Name and Address of Reporting Person LOPA, LUIS IGNACIO ARANETA (Last) (First) (Middle) L2 B4 Wedgewoods Avenue, (Street) Wedgewoods Subdivision, Silang Cavite City (City) (Province) (PostafiCode) 2. Issuer Name and Trading Symbol 3, Tax Identification Number 4. Citizenship 101-748-693 FILIPINO PLDT Inc. (TEL) S Statement for Month/Year June 2018 6. If Amendment. of Original (MonthYear) N/A 7. Relationship of Reporting Person to Issuer X Director Officer kirge mm vow'', Vice President (Check all applicable) 10% Owner Other l.vtnaly Lie... Table 1 - Equ'ly Securities Beneficially Owned t Class of Equity Security 2. Transaction (Month/Day/Year) 4. Securities Acquired (A) or Disposed of (D) 3. Amount of Securities Owned at End of Month 4 Ownership Form: 6. Nature of Indirect Beneficial tweet tut Of InaireCt (I) ' ownership Number of Shares Amount (A) or (0) Price Common Capital Stock June/21/2018 100 D P1,196.00/ 0.000349% 763 I Thru PCD (shares) share (PCD) 0.0000000% 0 (Certificated) TOTAL 0.000349% 763 NOTE: Last filing of SEC Form 23-B on June 25, 2018 NOTE: Total issued nd outstanding shares as of June 30, 2018 --- 218,779886 lithe change in beneficial ownership is 50% of the previous shareholdings or is equal to 5% of the outstanding capital stock of the issuer, provide the disclosure requirements set forth on page 3 of this form. (Print or Type Responses) Reminder: Report on a separate line for each class of equity securities beneficially owned directly or indirectly. (1) A person is directly or indirectly the beneficial owner of any equity security with respect to which he has or snares: Voting power which includes the power to vote, or to direct the voting of, such security; and/or Investment power which includes the power to dispose of, or to direct the disposition of. such security_ (2) A person will be deemed to have an indirect beneficial interest in any equity security which is: (A) held by members of a person's immediate family sharing the same household, (B) held by a partnership in which such person is a general partner. held by a corporation of which such person is a controlling shareholder or subject to any contract, arrangement or understanding which gives such person voting power or investment power with respect to such security.
FORM 23-8 (continued) Table It - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., warrants, options, convertible securities) 1. Derivative Security 2. Conversion or Exercise Price of Derivative Security 3. Transaction (Month/Day/Yr) A. Number ofdenvativelsecurities Acquired (A) or Disposed of (D) Amount (A) or (D) 3. El-ate Exercisable and Expiration (Month/Day/Year) Exercisable B. Title and Amount of Underlying Securities 7. Pnce of Derivative Security B. No. of Derivative Securities Beneficially Owned at End of Month 9. Ownership Form of Derivative Security; Direct (D) or inorect 0/ ' NA NA NA NA NA NA NA NA NA NA NA NA NA Expiration Title Amount or Number of Shares 10. Nature of Indirect Beneficial Ownership Explanation of Responses: Note: File three (3) copies of this form, one of which must be manually signed. Attach additional sheets if space provided is insufficient.
DISCLOSURE REQUIREMENTS IN CASE OF MATERIAL CHANGES IN BENEFICIAL OWNERSHIP (50% INCREASE/DECREASE OR EQUIVALENT TO 5% OF THE OUTSTANDING CAPITAL STOCK OF ISSUER) Item Security and Issuer 1. State the title of the class of equity securities to which this Form relates and the name and address of the principal executive offices of the issuer of such securities. Item Identity and Background 2. If the person filing this Form is a corporation, partnership, syndicate or other group of persons, state its name, the province, country or other place of its organization, its principal business, the address of its principal office and the information required by (d) and (e) of this Item. If the person filing this statement is a natural person, provide the information specified in (a) through (f) of this Item with respect to such person(s). Name; Residence or business address. Present principal occupation or employment and the name, principal business and address of any corporation or other organization in which such employment is conducted; Whether or not, during the last five years, such person has been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors) and, if so, give the dates, nature of conviction, name and location of court, any penalty imposed, or other disposition of the case; Whether or not, during the last five years, such person was a party to a civil proceeding of a judicial or administrative body of competent jurisdiction, domestic or foreign, and as a result of such proceeding was or is subject to any order, judgment or decree, not subsequently reversed, suspended or vacated, permanently or temporarily enjoining, barring, suspending or otherwise limiting involvement in any type of business, securities, commodities or banking; and Citizenship. Item Purpose of Transaction 3. State the purpose or purposes of the acquisition of securities of the issuer. Describe any plans or proposals which the reporting persons may have which relate to or would result in: The acquisition by any person of additional securities of the issuer, or the disposition of securities of the issuer An extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the issuer or any of its subsidiaries; A sale or transfer of a material amount of assets of the issuer or of any of its subsidiaries; Any change in the present board of directors or management of the issuer including any plans or proposals to change the number or term of directors or to fill any existing vacancies on the board; Any material change in the present capitalization or dividend policy of the issuer Any other material change in the issuer's business or corporate structure; Changes in the issuer's charter, bylaws or instruments corresponding thereto or other actions which may impede the acquisition of control of the issuer by any person; Causing a class of securities of the issuer to be delisted from a securities exchange; Any action similar to any of those enumerated above. Item Interest in Securities of the Issuer 4. State the aggregate number and percentage of the class of securities identified pursuant to Item 1 beneficially owned (identifying those shares which there is a right to acquire within thirty (30) days from the date of this report) by each person named in Item 2. The abovementioned information should also be furnished with respect to persons who, together with any of the persons named in Item 2, comprise a group.
b. For each person named in response to paragraph (a), indicate the number of shares as to which there is sole power to vote or to direct the vote, shared power to vote or to direct the vote, sole or shared power to dispose or to direct the disposition. Provide the applicable information required by Item 2 with respect to each person with whom the power to vote or to direct the vote or to dispose or direct the disposition is shared. c Describe any transaction in the class of securities reported on that were effected during the past sixty (60) days by the persons named in response to paragraph (a). The description shall include, but not necessarily be limited to: (1) the identity of the person who effected the transaction; (2) the date of the transaction; (3) the amount of securities involved; (4) the price per share or unit; and (5) where or how the transaction was effected. If any other person is known to have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of such securities, a statement to that effect should be included in response to this Item and, if such interest relates to more than five (5%) percent of the class, such person should be identified. If the filing is an amendment reflecting the fact that the reporting person has ceased to be the beneficial owner of more than five (5%) percent of the class of securities, state the date on which such beneficial ownership was reduced. Item Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer Describe any contract, arrangement, understanding or relationship among the person named in Item 2 and between such persons and any person with respect to any securities of the issue, including but not limited to transfer or voting of any of the securities, finder's fees, joint ventures, loan or option arrangements, puts or calls, guarantees of profits, division of profits or loss, or the giving or withholding of proxies, naming the person with whom such contracts, arrangements, understandings or relationships have been entered into. Include such information for any of the securities that are pledged or otherwise subject to a contingency the occurrence of which would give another person voting power or investment power over such securities except that disclosure of standard default and similar provisions contained in loan agreements need not be included. Item Material to be Filed as Exhibits Copies of all written agreements, contracts, arrangements, understandings, plans or proposals relating to: the acquisition of issuer control, liquidation, sale of assets, merger, or change in business or corporate structure or any other matter as disclosed in Item 3; and the transfer or voting of the securities, finder's fees, joint ventures, options, puts, calls, guarantees of loans, guarantees against losses or the giving or withholding of any proxy as disclosed in Item 5. After reasonable inquiry and to the best of my knowledge and beli f, licertify that the information set forth in this Report is true, complete and accurate. This report is signed in the City of II\ Alk on 7i"4 id By: (S nature of Reporting Person) LUIS IGNACIO A. LOPA Vice President