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The AMA Handbook of Due Diligence by Andrew J. Sherman, William M. Crilly

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PATENTS, COPYRIGHTS AND TRADEMARKS
ENTITY Form 17-10
REF.
PREPARED BY REVIEWED BY
REVISION DATE SECTION PAGE
484
SIGNIFICANT PATENTS
SUBJECT OF PATENT PATENT OR
APPLICATION NUMBER
DATE
GRANTED
DATE
EXPIRES
APPROXIMATE
ANNUAL REVENUE
FROM PRODUCTS
USING THIS PATENT
$
SIGNIFICANT COPYRIGHTS AND TRADEMARKS
COPYRIGHT/TRADEMARK (1) DATE
GRANTED
APPROXIMATE ANNUAL REVENUE
FROM PRODUCTS USING THESE
RIGHTS
Note: (1) Indicate copyright by a “(c)” and trade mark by a “TM”.
LICENSING AGREEMENTS
ENTITY Form 17-11
485
REF.
PREPARED BY REVIEWED BY
REVISION DATE SECTION PAGE
LICENSES GRANTED TO OTHERS
ITEM LICENSED TO WHOM LICENSED PERIOD OF
LICENSE
ANNUAL SALES
UNDER LICENSE/
LICENSE INCOME (1)
$
Note (1) Year ending __________________ .
LICENSES RECEIVED FROM OTHERS
ITEM LICENSED FROM WHOM LICENSED PERIOD OF
LICENSE
ANNUAL SALES
UNDER LICENSE/
LICENSE FEE (1)
$
Note: (1) Year ending __________________ .
REGULATORY AFFAIRS
ENTITY Form 17-12
REF.
PREPARED BY REVIEWED BY
REVISION DATE SECTION PAGE
486
Please list the various regulatory agencies having a significant impact on the entity’s operations and/or costs.
AGENCY
(1)
AREAS OF
REGULATION
NATURE OF IMPACT POTENTIAL FUTURE IMPACT
Example: EPA Air quality. Cost of scrubbers, higher cost
fuel.
Change process.
Note: (1) List as appropriate: Equal Employment Opportunity Commission (EEOC), Environmental Protection
Agency (EPA), Federal Communications Commission (FCC), Food and Drug Administration (FDA),
Occupational Safety and Health Administration (OSHA), etc.
REGULATORY COMPLIANCE ACTIONS
ENTITY Form 17-13
487
REF.
PREPARED BY REVIEWED BY
REVISION DATE SECTION PAGE
If the entity has been the subject of any regulatory actions, please provide the details.
AGENCY BRINGING
ACTION
(1)
NATURE OF ACTION DATE RESOLUTION
Note: (1) List as appropriate: Equal Employment Opportunity Commission (EEOC), Environmental Protection
Agency (EPA), Federal Communications Commission (FCC), Food and Drug Administration (FDA),
Occupational Safety and Health Administration (OSHA), etc.
OFFICERS’ AND DIRECTORS’ BACKGROUND INFORMATION
ENTITY Form 17-14
REF.
PREPARED BY REVIEWED BY
REVISION DATE SECTION PAGE
488
Have any of the entity’s officers or directors been the subject of any:
Regulatory violations? Civil court litigation? Internal Revenue Service actions?
Security And Exchange Commission investigation? Criminal proceeding?
If so, please provide a brief description of the basis for the action and the outcome.
Are there any existing or potential conflicts of interest between any officers or directors and the entity?
If so, please explain the circumstances.

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