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

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ENTITY Form 5-05
61
REF.
PREPARED BY REVIEWED BY
REVISION DATE SECTION PAGE
PERIOD 20 20 20 20 20
PRICE - HIGH/LOW lN DOLLARS PER SHARE
First Qtr. / / / / /
Second Qtr. / / / / /
Third Qtr. / / / / /
Fourth Qtr. / / / / /
AVERAGE ANNUAL PRICE / EARNINGS RATIO
Annual Ratio :1 :1 :1 :1 :1
TRADING VOLUME - NUMBER OF SHARES
First Qtr.
Second Qtr.
Third Qtr.
Fourth Qtr.
Year
AVERAGE ANNUAL TRADING TURNOVER AS A PERCENT OF TOTAL SHARES OUTSTANDING
Annual Turnover % % % % %
YEAR-TO-DATE PERFORMANCE
PRICE
PERFORMANCE
HIGH/LOW
LAST YEAR
HIGH/LOW
THIS YEAR
P/E RATIO
LAST YEAR
P/E RATIO
THIS YEAR
As Of _______ / / :1 :1
TRADING
VOLUME
VOLUME - LAST
YEAR-TO-DATE
VOLUME - THIS
YEAR-TO-DATE
TURNOVER
LAST YEAR
TURNOVER
THIS YEAR
As Of _______ % %
COMMON STOCK - PRICE AND TRADING VOLUME
ENTITY Form 5-06
REF.
PREPARED BY REVIEWED BY
REVISION DATE SECTION PAGE
62
COMMON STOCK - HOLDERS OF MORE THAN FOUR PERCENT OF SHARES
Note: (1) Array in order of declining percentage ownership.
(2) Percentage based on total of ____________________ shares outstanding.
Note: If the group is represented by one or more board members, please identify them.
SHAREHOLDER SHARES
HELD
(000)
PERCENT OF
TOTAL
SHAREHOLDER SHARES
HELD
(000)
PERCENT OF
TOTAL
(As Of ___________________ )
% %
Total Shares Owned By Above Shareholders (2)
%
DESCRIBE ANY RELATIONSHIPS THAT SUGGEST THAT ANY OF THE ABOVE INDIVIDUAL
SHAREHOLDERS MAY VOTE AS A GROUP
Family Relationships, Company Management, Shares In Same Voting Trusts, Etc.
ENTITY Form 5-07
63
REF.
PREPARED BY REVIEWED BY
REVISION DATE SECTION PAGE
CAPITALIZATION - PREFERRED STOCK
DESCRIPTION ISSUE OF
_______________
ISSUE OF
_______________
DISTRIBUTION OF SHARES
Shares Outstanding
Number Of Shareholders
FEATURES
Par Value $ per share $ per share
Coupon rate % %
Are dividends current?
Are dividends subordinated?
If so, to what?
Are dividends cumulative?
Is there a sinking fund requirement?
Do these shares participate in earnings?
Do these shares currently have voting rights?
Will they have voting rights if dividends are in arrears?
Are these shares convertible into common stock?
Are there staggered conversion dates and prices?
What is the earliest conversion date?
What is the earliest conversion price? $ per share $ per share
Are these shares callable?
Are there staggered call dates?
What is the earliest call date?
What is the earliest call price? $ per share $ per share
Who were the lead underwriters?
LISTING INFORMATION
Public or private placement
Exchange where listed
Stock symbol
ENTITY Form 5-08
REF.
PREPARED BY REVIEWED BY
REVISION DATE SECTION PAGE
64
PREFERRED STOCK - DIVIDEND RECORD
DIVIDEND RECORD - DOLLARS PER SHARE
PERIOD 20 20 20 20 20
First Qtr. $ $ $ $ $
Second Qtr.
Third Qtr.
Fourth Qtr.
Year $ $ $ $ $
DIVIDEND PAYOUT
YEAR 20 20 20 20 20
Dividends Per Share $ $ $ $ $
Earnings Per Share
Dividend Payout % % % % %
CURRENT DIVIDEND YIELD (1)
Indicated Annual Dividend Per Share $
Price Per Share $
Indicated Yield %
DIVIDEND ARREARAGES
Has the entity or its parent experienced an arrearage on its preferred dividends during the last five years?
[ ] Yes [ ] No If so, when, what amounts, and for how long?
Note: (1) As of ___________________ .
ENTITY Form 5-09
65
REF.
PREPARED BY REVIEWED BY
REVISION DATE SECTION PAGE
CAPITALIZATION - BONDS
DESCRIPTION ISSUE OF
__________________
ISSUE OF
__________________
DISTRIBUTION OF BONDS
Bonds Outstanding
Number Of Bondholders
FEATURES
Denomination $ per bond $ per bond
Interest rate % %
Are payments current?
Are bonds secured or unsecured?
Are payments subordinated?
If so, to what?
Is there a sinking fund requirement?
Are there serial maturities?
Do these bonds participate in earnings?
Will bonds have voting rights if payments are in default?
Were warrants attached to these bonds?
If so, for how many shares?
When can they be exercised?
What is the exercise price?
Are these bonds convertible into common stock?
Are there staggered conversion dates and prices?
What is the earliest conversion date?
What is the earliest conversion price?
Are these bonds callable?
Are there staggered call dates and prices?
What is the earliest call date?
What is the earliest call price?
Who were the lead underwriters?
Public or private placement?

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