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<br />ADV All Pages <br /> <br />Page 16 of36 <br /> <br />H. (1) Has any domestic or foreign court: <br />(a) In the past ten years, enjoined you or any advisory affiliate in connection with <br />any investment-related activity? <br />(b) ever found that you or any advisory affiliate were involved in a violation of <br />investment-related statutes or regulations? <br />(c) ever dismissed, pursuant to a settlement agreement, an Investment-related dvlJ C <br />action brought against you or any advisory affiliate by a state or foreign <br />financial regulatory authority? <br /> <br />YES NO <br />C €' <br /> <br />c <br /> <br />@ <br /> <br />€< <br /> <br />(2) Are you or any advisory affiliate now the subject of any civil proceeding that could C c; <br />result In a "yes" answer to any part of Item l1.H{l)? <br /> <br />litem 12 Small Businesses <br /> <br />The SEe is fequired by the Regulatory Flexibility Act to consider the effect of its regulations on small <br />entities. In order to do this, we need to determine whether you meet the definition of "small <br />business" or IIsmall organization" under rule 0-7. <br /> <br />Answer this Item 12 only if you are registered or registering with the SEe and you indicated In <br />response to Item 5.F(2)(c) that you have assets under management of less than $25 million. You are <br />not required to answer this Item 12 If you are filing fOf initial registration as a state adviser, <br />amending a current state registration, or switching from SEe to state registration. <br /> <br />FORM ADV <br />UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION <br />Iprimary Business Name: PATTERSON. ASSOCIATES IcRD Number: 110735 <br /> <br />Rev. OS/2003 <br /> <br />ADV - Annual Amendment, Page 16 <br />3/29/200411:09:50 AM <br /> <br />lItem 12 Small Businesses (Continued) <br /> <br />For purposes of this Item 12 only: <br />. Total Assets refers to the total assets of a firm, rather than the assets managed on behalf of <br />clients. In determining your or another person's total assets, you may use the total assets <br />shown on a current balance sheet (but use total assets reported on a consolidated balance <br />sheet with subsidiaries included, if that amount Is larger). <br />. Control means the power to direct or cause the direction of the management or policies of a <br />person, whether through ownership of securities, by contract, or otherwise. Any person that <br />directly or indirectly has the right to vote 25 percent or more of the voting securities, or is <br />entitled to 25 percent or more of the profits, of another person is presumed to control the other <br />person. <br /> <br />YES NO <br /> <br />A. Did you have total assets of $5 million or more on the last day of your most recent fiscal C C <br />year? <br />If "yes," you do not need to answer Items 12.8. and 12.C. <br /> <br />B. Do you: <br />(1) control another investment adviser that had assets under management of $25 n C <br />million or more on the last day of Its most recent fiscal year? <br /> <br />https://crd.nasd.comlIadlContent/PrintHist/ AdvlPages/crd_iad_Adv AllPages.asp?RetNum=&vi... 2/14/2005 <br />