Common use of Broker-Dealer Status Clause in Contracts

Broker-Dealer Status. (a) Are you a broker-dealer? Yes  No  (b) If "yes" to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes  No  Note: If "no" to Section 3(b), the Commission's staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes  No  (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes  No  Note: If "no" to Section 3(d), the Commission's staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes  ¨ No ¨ (b) If "“yes" ” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes  ¨ No  ¨ Note: If "“no" ” to Section 3(b), then in accordance with guidance provided by the Commission's staff has indicated that ’s staff, the Company will identify you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes  ¨ No ¨ (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes  ¨ No  ¨ Note: If "“no" ” to Section 3(d), then in accordance with guidance provided by the Commission's staff has indicated that ’s staff, the Company will identify you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes  □ No □ (b) If "“yes" ” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes  □ No  □ Note: If "“no" ” to Section 3(b), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes  □ No □ (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes  □ No  □ Note: If "“no" ” to Section 3(d), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes  ☐ No ☐ (b) If "“yes" ” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes  ☐ No  ☐ Note: If "“no" ” to Section 3(b), then in accordance with guidance provided by the Commission's staff has indicated that ’s staff, the Company will identify you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes  ☐ No ☐ (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes  ☐ No  ☐ Note: If "“no" ” to Section 3(d), then in accordance with guidance provided by the Commission's staff has indicated that ’s staff, the Company will identify you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes  o No o (b) If "“yes" ” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes  o No  o Note: If "“no" ” to Section 3(b), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes  o No o (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes  o No  o Note: If "“no" ” to Section 3(d3(c), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes  ¨ No x (b) If "“yes" ” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes  ¨ No  x Note: If "“no" ” to Section 3(b), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes  ¨ No x (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes  ¨ No  x Note: If "“no" ” to Section 3(d), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes  ¨ No x (b) If "“yes" ” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes  ¨ No  ¨ Note: If "“no" ” to Section 3(b), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes  ¨ No x (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes  ¨ No  x Note: If "“no" ” to Section 3(d), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes  ¨ No ¨ (b) If "“yes" ” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes  ¨ No  ¨ Note: If "“no" ” to Section 3(b), the Commission's SEC’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes  ¨ No ¨ (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes  ¨ No  ¨ Note: If "“no" ” to Section 3(d), the Commission's SEC’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes  ☐ No ☐ (b) If "“yes" ” to Section 3(a4(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes  ☐ No  ☐ Note: If "no" to Section 3(b), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes  ☐ No ☐ Note: If yes, provide a narrative explanation below: ____________________________ ____________________________ (d) If you are an affiliate of a broker-dealer, do you certify that you purchased bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes  ☐ No  ☐ Note: If "no" to Section 3(d), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes  ¨ No ¨ (b) If "“yes" ” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes  ¨ No  ¨ Note: :If "“no" ” to Section 3(b), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes  ¨ No ¨ (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes  ¨ No  ¨ Note: :If "“no" ” to Section 3(d), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes  ¨ No x (b) If "“yes" ” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes  ¨ No  ¨ Note: If "“no" ” to Section 3(b), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes  ¨ No x (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes  ¨ No  ¨ Note: If "“no" ” to Section 3(d), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes  No Yes[ ] No[ ] (b) If "“yes" ” to Section 3(a4(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes  No  Yes[ ] No[ ] Note: If "no" to Section 3(b), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes  No Yes[ ] No[ ] Note: If yes, provide a narrative explanation below: (d) If you are an affiliate of a broker-dealer, do you certify that you purchased bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes  No  Yes[ ] No[ ] Note: If "no" to Section 3(d), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes  |_| No |_| (b) If "yes" to Section 3(a4(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? . Yes  |_| No  |_| Note: If "no" to Section 3(b), the Commission's staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes  |_| No |_| (d) If you are an affiliate of a broker-dealer, do you certify that you purchased bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes  |_| No  |_| Note: If "no" to Section 3(d), the Commission's staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes  No  (b) If "“yes" ” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes  No  Note: :If "“no" ” to Section 3(b), the Commission's SEC’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes  No  (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes  No  Note: :If "“no" ” to Section 3(d), the Commission's SEC’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes  o No o (b) If "yes" to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes  o No  o Note: If "no" to Section 3(b), the Commission's staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes  o No o (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes  o No  o Note: If "no" to Section 3(d), the Commission's staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes  o No o (b) If "“yes" ” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes  o No  o Note: If "“no" ” to Section 3(b), the Commission's SEC’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes  o No o Note: If “yes” to Section 3(c), provide a narrative explanation below: (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes  o No  o Note: If "“no" ” to Section 3(d), the Commission's SEC’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes  ¬ No ¬ (b) If "“yes" ” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes  ¬ No  ¬ Note: If "“no" ” to Section 3(b), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes  ¬ No ¬ (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes  ¬ No  ¬ Note: If "“no" ” to Section 3(d), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes  o No o (b) If "“yes" ” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes  o No  o Note: If "“no" ” to Section 3(b), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (ca) Are you an affiliate of a broker-dealer? Yes  o No o (db) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes  o No  o Note: If "“no" ” to Section 3(d), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ☐ No ☐ (b) If "“yes" ” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes ☐ No ☐ Note: If "“no" ” to Section 3(b), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes ☐ No ☐ (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ☐ No ☐ Note: If "“no" ” to Section 3(d), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes  o No o (b) If "“yes" ” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the CompanyParent? Yes  o No  o Note: If "“no" ” to Section 3(b), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes  o No o (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes  o No  o Note: If "“no" ” to Section 3(d), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes  o No o (b) If "“yes" ” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes  o No  o Note: If "“no" ” to Section 3(b), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes  o No o EXHIBIT A TO ARTL SUBSCRIPTION AGREEMENT (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes  o No  o Note: If "“no" ” to Section 3(d), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes  No Yes¨ No¨ (b) If "“yes" ” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes  No  Yes¨ No¨ Note: If "“no" ” to Section 3(b), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes  ¨ No ¨ (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes  ¨ No  ¨ Note: If "“no" ” to Section 3(d), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes  ¨ No ¨ (b) If "“yes" ” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes  ¨ No  ¨ Note: If "“no" ” to Section 3(b), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes  ¨ No ¨ (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes  ☐ No  ☐ Note: If "“no" ” to Section 3(d), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes  ¨ No ¨ (b) If "“yes" ” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes  ¨ No  ¨ Note: If "“no" ” to Section 3(b), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes  ¨ No ¨ ARCH THERAPEUTICS, INC. (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes  ¨ No  ¨ Note: If "“no" ” to Section 3(d), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes  No ¨Yes ¨ No (b) If "“yes" ” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes  ¨Yes ¨ No  Note: If "“no" ” to Section 3(b), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes  No ¨Yes ¨ No (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes  ¨Yes ¨ No  Note: If "“no" ” to Section 3(d), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes  ¨ No ¨ (b) If "“yes" ” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes  ¨ No  ¨ Note: If "you answered “no" ” to Section 3(b), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes  ¨ No ¨ (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes  ¨ No  ¨ Note: If "you answered “no" ” to Section 3(d), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes  [_] No [_] (b) If "yes" to Section 3(a4(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? . Yes  [_] No  [_] Note: If "no" to Section 3(b), the Commission's staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes  [_] No [_] (d) If you are an affiliate of a broker-dealer, do you certify that you purchased bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes  [_] No  [_] Note: If "no" to Section 3(d), the Commission's staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes  No  (b) If "“yes" ” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes  No  Note: If "“no" ” to Section 3(b), the Securities and Exchange Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes  No  (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes  No  Note: If "“no" ” to Section 3(d), the Securities and Exchange Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes  £ No £ (b) If "“yes" ” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes  £ No  £ Note: If "“no" ” to Section 3(b), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes  £ No £ (d) If you are an affiliate of a broker-dealer, do you certify that you purchased obtained the Registrable Securities in the ordinary course of business, and at the time of the purchase of you obtained the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes  £ No  £ Note: If "“no" ” to Section 3(d), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes  No  (b) If "yes" to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes  No  Note: If "no" to Section 3(b), the Commission's staff has indicated that you should be identified as an underwriter in the Registration Statement.. <PAGE> (c) Are you an affiliate of a broker-dealer? Yes  No  (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes  No  Note: If "no" to Section 3(d), the Commission's staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes  ¨ No ¨ (b) If "“yes" ” to Section Item 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes  ¨ No  ¨ Note: If "no" “yes” to Section Item 3(b), the Commission's SEC’s staff has indicated that you should be identified as an underwriter in the Registration StatementStatement and related Prospectus. (c) Are you an affiliate of a broker-dealer? Yes  ¨ No ¨ Note: If yes, provide a narrative explanation below: (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes  ¨ No  ¨ Note: If "“no" ” to Section Item 3(d), the Commission's SEC’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes  ¨ No ¨ (b) If "“yes" ” to Section 3(a4(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes  ¨ No  ¨ Note: :If "“no" ” to Section 3(b4(b), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes  ¨ No ¨ Note:If yes, provide a narrative explanation below: (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes  ¨ No  ¨ Note: :If "“no" ” to Section 3(d4(d), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes  [_] No [_] (b) If "“yes" ” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? . Yes  [_] No  [_] Note: If "no" to Section 3(b), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes  [_] No [_] (d) If you are an affiliate of a broker-dealer, do you certify that you purchased bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes  [_] No  [_] Note: If "no" to Section 3(d), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes  __ No __ (b) If "yes" to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes  __ No  __ Note: If "no" to Section 3(b), the Commission's staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes  __ No __ (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes  __ No  __ Note: If "no" to Section 3(d), the Commission's staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes  ¨ No ¨ (b) If "“yes" ” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes  ¨ No  ¨ Note: If "“no" ” to Section 3(b), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes  ¨ No ¨ (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes  ¨ No  ¨ Note: If "“no" ” to Section 3(d), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement.. ABIO REGISTRATION RIGHTS AGREEMENT

Broker-Dealer Status. (a) Are you a broker-dealer? Yes  ☐ No ☐ (b) If "“yes" ” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes  ¨ No  ¨ Note: If "“no" ” to Section 3(b), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes  ¨ No ¨ (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no No agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes  ¨ No  ¨ Note: If "“no" ” to Section 3(d), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes  No X (b) If "“yes" ” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes  No  Note: If "“no" ” to Section 3(b), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes  No X (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes  No  Note: If "“no" ” to Section 3(d), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes  ¨ No ¨ (b) If "“yes" ” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes  ¨ No  ¨ Note: If "“no" ” to Section 3(b), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes  ¨ No ¨ (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no No agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes  ¨ No  ¨ Note: If "“no" ” to Section 3(d), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes  [ ] No [ ] (b) If "“yes" ” to Section 3(a4(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes  [ ] No  [ ] Note: If "no" to Section 3(b), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes  [ ] No [ ] Note: If yes, provide a narrative explanation below: (d) If you are an affiliate of a broker-dealer, do you certify that you purchased bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes  [ ] No  [ ] Note: If "no" to Section 3(d), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes  ¨ No ¨ (b) If "yes" to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes  ¨ No  ¨ Note: If "no" to Section 3(b), the Commission's staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes  ¨ No ¨ (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes  ¨ No  ¨ Note: If "no" to Section 3(d), the Commission's staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes  No  (b) If "“yes" ” to Section 3(a4(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes  No  Note: If "no" to Section 3(b), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Resale Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes  No  Note: If yes, provide a narrative explanation below: (d) If you are an affiliate of a broker-dealer, do you certify that you purchased bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes  No  Note: If "no" to Section 3(d), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Resale Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes  ¨▪No ¨ (b) If "“yes" ” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes  ¨▪No  ¨ Note: If "“no" ” to Section 3(b), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes  ¨ No ¨ (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes  ¨▪No  ¨ Note: If "“no" ” to Section 3(d), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. ​ (a) Are you a broker-dealer? ​ Yes  ◻ No ◻ ​ (b) If "“yes" ” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? ​ Yes  ◻ No  ◻ ​ ​ Note: If "“no" ” to Section 3(b), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes  ◻ No ◻ (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes  ◻ No  ◻ Note: If "“no" ” to Section 3(d), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer?  Yes  No No (b) If "“yes" ” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company?  Yes  No  Note: If "“no" ” to Section 3(b), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer?  Yes  No No (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities?  Yes  No  4871-7482-8212 Note: If "“no" ” to Section 3(d), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes Yeso  No Noo (b) If "“yes" ” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes  No  Yeso Noo Note: If "“no" ” to Section 3(b), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes  No Yeso Noo  (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes  No Yeso Noo  Note: If "“no" ” to Section 3(d), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes  [ ] No [ ] (b) If "“yes" ” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes  [ ] No  [ ] Note: If "“no" ” to Section 3(b), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes  ¨ No ¨ (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes  ¨ No  ¨ Note: If "“no" ” to Section 3(d), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes  ¨ No ¨ (b) If "“yes" ” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes  ¨ No  ¨ Note: If "“no" ” to Section 3(b), the Commission's SEC’s staff has indicated that you should be identified as an underwriter “underwriter” in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes  ¨ No ¨ (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes  ¨ No  ¨ Note: If "“no" ” to Section 3(d), the Commission's SEC’s staff has indicated that you should be identified as an underwriter “underwriter” in the Registration Statement.

Broker-Dealer Status. 7 (a) Are you a broker-dealer? Yes  [_] No [_] (b) If "yes" to Section 3(a4(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? . Yes  [_] No  [_] Note: If "no" to Section 3(b), the Commission's staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes  [_] No [_] (d) If you are an affiliate of a broker-dealer, do you certify that you purchased bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes  [_] No  [_] Note: If "no" to Section 3(d), the Commission's staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes  ¨ No ¨ (b) If "“yes" ” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes  ¨ No  ¨ Note: If "“no" ” to Section 3(b), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes  ¨ No ¨ (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes  ¨ No  ¨ Note: If "“no" ” to Section 3(d), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes  o No o (b) If "“yes" ” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the CompanyIssuer? Yes  o No  o Note: If "“no" ” to Section 3(b), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes  o No o (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes  o No  o Note: If "“no" ” to Section 3(d), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes  No  (b) If "“yes" ” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes  No  Note: If "“no" ” to Section 3(b), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes  No No (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes  No  Note: If "“no" ” to Section 3(d), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes  [ ] No [ ] (b) If "yes" to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes  [ ] No  [ ] Note: If "no" to Section 3(b), the Commission's staff SEC Staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes  [ ] No [ ] (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements agreement or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes  [ ] No  [ ] Note: If "no" to Section 3(d), the Commission's staff SEC Staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes  ¨ No ¨ (b) If "“yes" ” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes  ¨ No  ¨ Note: If "“no" ” to Section 3(b), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes  ¨ No ¨ (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes  ¨ No  ¨ Note: If "“no" ” to Section 3(d), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. Yes ¨ No ¨ (a) Are you a broker-dealer? Yes  ¨ No ¨ (b) If "“yes" ” to Section 3(a4(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes  ¨ No  ¨ Note: If "no" to Section 3(b), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes  ¨ No ¨ Note: If yes, provide a narrative explanation below: (d) If you are an affiliate of a broker-dealer, do you certify that you purchased bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes  ¨ No  ¨ Note: If "no" to Section 3(d), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes  ¨ No ¨ (b) If "“yes" ” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes  £ No  ¨ Note: If "“no" ” to Section 3(b), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes  £ No £ (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes  £ No  £ Note: If "“no" ” to Section 3(d), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes  £ No £ (b) If "“yes" ” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes  £ No  £ Note: If "no" “yes” to Section 3(b), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes  £ No £ (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes  £ No  £ Note: If "“no" ” to Section 3(d), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes  ¨ No ¨ (b) If "“yes" ” to Section 3(a‎3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes  ¨ No  ¨ Note: If "“no" ” to Section 3(b‎3(b), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes  ¨ No ¨ (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes  ¨ No  ¨ Note: If "“no" ” to Section 3(d‎3(d), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes  No  2 (b) If "“yes" ” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes  No  Note: If "“no" ” to Section 3(b), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes  No  (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes  No  Note: If "“no" ” to Section 3(d), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes  ¨ No ¨ (b) If "“yes" ” to Section 3(a4(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes  ¨ No  ¨ Note: If "“no" ” to Section 3(b4(b), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes  ¨ No ¨ Note: If yes, provide a narrative explanation below: (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes  ¨ No  ¨ Note: If "“no" ” to Section 3(d4(d), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes  _____ No _____ (b) If "“yes" ” to Section Question 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes  _____ No  _____ Note: If "“no" ” to Section Question 3(b), the Commission's SEC’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes  _____ No _____ (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes  _____ No  _____ Note: If "“no" ” to Section Question 3(d), the Commission's SEC’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes  ¨ No ¨ (b) If "“yes" ” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes  ¨ No  £ Note: If "“no" ” to Section 3(b), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes  ¨ No £ (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes  ¨ No  ¨ Note: If "“no" ” to Section 3(d), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? o Yes  No o No (b) If "“yes" ” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? o Yes  o No  Note: If "“no" ” to Section 3(b), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? o Yes  No o No (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? o Yes  o No  Note: If "“no" ” to Section 3(d), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes  ¨ No ¨ (b) If "“yes" ” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes  ¨ No  ¨ Note: If "“no" ” to Section 3(b), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealerdealer (i.e., registered representative, principals, control person)? Yes  ¨ No ¨ (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes  ¨ No  ¨ Note: If "“no" ” to Section 3(d), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes  ☐ No ☐ (b) If "“yes" ” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes ☐ No  ☐ Note: If "“no" ” to Section 3(b), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes ☐ No ☐ (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ☐ No  ☐ Note: If "“no" ” to Section 3(d), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes  o No o (b) If "“yes" ” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes  o No  o Note: :If "“no" ” to Section 3(b), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes  o No o (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes  o No  o Note: If "“no" ” to Section 3(d), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes  . No . (b) If "“yes" ” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes  . No  . Note: If "“no" ” to Section 3(b), the Commission's SEC’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes  . No . (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes  . No  . Note: If "“no" ” to Section 3(d), the Commission's SEC’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes  __ No __ (b) If "“yes" ” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes  __ No  __ Note: If "“no" ” to Section 3(b), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes  __ No __ (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes  __ No  __ Note: If "“no" ” to Section 3(d), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes  ¨ No ¨ (b) If "“yes" ” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes  ¨ No  ¨ Note: If "“no" ” to Section 3(b), the Commission's staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes  ¨ No ¨ (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes  ¨ No  ¨ Note: If "“no" ” to Section 3(d), the Commission's staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes  o No o (b) If "“yes" ” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes  Yeso No  o Note: If "“no" ” to Section 3(b), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes  o No o (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes  o No  o Note: If "“no" ” to Section 3(d), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes  No No (b) If "“yes" ” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes  No  Note: If "“no" ” to Section 3(b), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement, and you hereby consent to being so identified. (c) Are you an affiliate of a broker-dealer? Yes  No No (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes  No  Note: If "“no" ” to Section 3(d), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement, and you hereby consent to being so identified.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes  ☐ No ☐ ​ (b) If "“yes" ” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes  ☐ No  ☐ ​ Note: If "“no" ” to Section 3(b), the Commission's SEC’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes  ☐ No ☐ (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes  ☐ No  ☐ ​ Note: If "“no" ” to Section 3(d), the Commission's SEC’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes  ¨ No ¨ (b) If "“yes" ” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes  ¨ No  ¨ Note: If "“no" ” to Section 3(b), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes  ¨ No ¨ ARTL SUBSCRIPTION AGREEMENT (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes  ¨ No  ¨ Note: If "“no" ” to Section 3(d), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes  No Yes[ ] No[ ] (b) If "“yes" ” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes  No  Yes[ ] No[ ] Note: If "“no" ” to Section 3(b), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes  No Yes[ ] No[ ] (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes  No  Yes[ ] No[ ] Note: If "“no" ” to Section 3(d), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes  o No o (b) If "“yes" ” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes  o No  o Note: If "“no" ” to Section 3(b), the Commission's SEC’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes  o No o (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes  o No  o Note: If "“no" ” to Section 3(d), the Commission's SEC’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes  o No o (b) If "“yes" ” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes  o No  o Note: If "“no" ” to Section 3(b), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes  o No o (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes  o No  Note: If "“no" ” to Section 3(d), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? ____ Yes  No ____ No (b) If "“yes" ” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? ____ Yes  ____ No  Note: If "“no" ” to Section 3(b), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? ____ Yes  No ____ No (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? ____ Yes  ____ No  Note: If "“no" ” to Section 3(d), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? ¨ Yes  No ¨ No (b) If "“yes" ” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? ¨ Yes  ¨ No  Note: If "“no" ” to Section 3(b), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? ¨ Yes  No ¨ No (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? ¨ Yes  ¨ No  Note: If "“no" ” to Section 3(d), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes o  No o (b) If "“yes" ” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes o  No  o Note: If "no" “yes” to Section 3(b), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes  o No o (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes o  No  o Note: If "“no" ” to Section 3(d), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Broker-Dealer Status. (a) Are you a broker-dealer? Yes  No YES ¨ NO ¨ (b) If "“yes" ” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes  No  YES ¨ NO ¨ Note: If "“no" ” to Section 3(b), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (c) Are you an affiliate of a broker-dealer? Yes  No YES ¨ NO ¨ (d) If you are an affiliate of a broker-dealer, do you certify that you purchased the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes  No  YES ¨ NO ¨ Note: If "“no" ” to Section 3(d), the Commission's ’s staff has indicated that you should be identified as an underwriter in the Registration Statement.