Fitness Disclosure (for .org Application) Posted: 20 May 2002 |
||
PRESENTED BY DUE JUNE 18, 2002, 5:00 P.M. PT Fitness Disclosure |
||
The following disclosures are hereby made on behalf of the applicant’s subcontractor.
D1. Within the past ten years, has any current director, officer, or manager of the applicant’s subcontractor (a) been convicted of any felony; (b) been convicted of any misdemeanor related to financial activities; (c) been judged by a court to have committed fraud or breach of fiduciary duty, or (d) been the subject of a judicial determination that is similar or related to any of these?
D2. Within the past ten years, has the applicant’s subcontractor itself (a) been convicted of any felony; (b) been convicted of any misdemeanor related to financial activities; (c) been judged by a court to have committed fraud or breach of fiduciary duty, or (d) been the subject of a judicial determination that is similar or related to any of these?
D3. Within the past ten years, has any current director, officer, or manager of the applicant’s subcontractor been disciplined by any government or by any organization of which he or she was a member for conduct involving dishonesty or misuse of funds of others?
D4. Within the past ten years has the applicant’s subcontractor itself been disciplined by any government or by any organization of which it was a member for conduct involving dishonesty or misuse of funds of others?
D5. Is any director, officer, or manager of the applicant’s subcontractor currently involved in any judicial or regulatory proceeding that could result in a conviction, judgment, determination, or discipline of the type specified in items D1 or D3?
D6. Is the applicant’s subcontractor itself currently involved in any judicial or regulatory proceeding that could result in a conviction, judgment, determination, or discipline of the type specified in items D2 or D4?
D7. Within the past three years, has any current director, officer, or manager of the applicant’s subcontractor been adjudged to be bankrupt or insolvent?
D8. Has the applicant’s subcontractor itself ever been adjudged to be bankrupt or insolvent?
D9. If the response to any of items D1 through D8 is affirmative, please provide complete details on separate sheets of paper attached to this disclosure.
By signing this fitness disclosure, the undersigned certifies that he or she has authority to do so on behalf of the applicant’s subcontractor. On his or her own behalf and on behalf of the applicant’s subcontractor, the undersigned certifies that all information contained in this fitness disclosure, and all documents attached to this disclosure, is true and accurate to the best of his/her/its knowledge and information. The undersigned and the applicant’s subcontractor understand that any material misstatement or misrepresentation will reflect negatively on the application of which this disclosure is a part and may cause cancellation of any delegation of a top-level domain based on that application. [See hard copy submission] Jack Levy Vice President and General Counsel, Register.com, Inc. DotOrg Foundation June 17, 2002 Explanation in response to question D6: In November 2001, the Company, its Chairman, President, Chief Executive Officer Richard D. Forman, former Vice President of Finance and Accounting, Alan G. Breitman, Goldman Sachs & Co. and Lehman Brothers, Inc. two of the underwriters in the syndicate for our March 3, 2000 initial public offering, were named as defendants in a class action complaint alleging violations of the federal securities laws in the United States District Court, Southern District of New York. Goldman Sachs & Co. and Lehman Brothers, Inc. distributed 172,500 of the 5,750,000 shares in the IPO. The complaint seeks unspecified damages as a result of various alleged securities law violations arising from activities purportedly engaged in by the underwriters in connection with our initial public offering. Plaintiffs allege that the underwriter defendants agreed to allocate stock in the Company's initial public offering to certain investors in exchange for excessive and undisclosed commissions and agreements by those investors to make additional purchases of stock in the aftermarket at pre-determined prices. Plaintiffs allege that the prospectus for the Company's initial public offering was false and misleading in violation of the securities laws because it did not disclose these arrangements. The Company intends to vigorously defend the action, which is being coordinated with over three hundred other nearly identical actions filed against other companies before one judge in the U.S. District Court for the Southern District of New York. |
||
|
||
|