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AnV All Pages Page 21 of36 following credential: D Certified Anancial Planner (RCFP") o Chartered Anancial Analyst (RCFA") C Chartered Flnandal Consultant cnChFCR) C Chartered Investment Counselor ("CICR) Q Personal Anandal Specialist ("PFS") o None of the above (3) Your Social Security Number: FORM ADV UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION Iprimary Business Name: PATTERSON & ASSOCIATES IcRD Number: 110735 I Rev. OS/2003 ADV - Annual Amendment, SCHEDULE A 3/29/2004 11:09:50 AM IForm ADV, Schedule A Direct Owners and Executive Officers 1. Complete Schedule A only if you are submitting an initial application. Schedule A asks for information about your direct owners and executive officers. Use Schedule C to amend this information. 2. Direct Owners and Executive Officers. List below the names of: (a) each Chief Executive Officer, Chief Anancial Officer, Chief Operations Officer, Chief Legal Officer, Chief Compliance Officer(Chief Compliance Officer is required and cannot be more than one individual), director, and any other individuals with similar status or functions; (b) if you are organized as a corporation, each shareholder that is a direct owner of 5% or more of a class of your voting securities, unless you are a public reporting company (a company subject to Section 12 or 15(d) of the Exchange Act); Direct owners include any person that owns, beneficially owns, has the right to vote, or has the power to sell or direct the sale of, 5% or more of a class of your voting securities. For purposes of this Schedule, a person beneficially owns any securities: (i) owned by his/her child, stepchild, grandchild, parent, stepparent, grandparent, spouse, Sibling, mother-in-law, father-In-law, son-in-law, daughter-in-law, brother-In-law, or sister-in-law, sharing the same residence; or (ii) that he/She has the right to acquire, within 60 days, through the exercise of any option, warrant, or right to purchase the security. (c) if you are organized as a partnership, all general partners and those limited and spedal partners that have the right to receive upon dissolution, or have contributed, 5% or more of your capital; (d) in the case of a trust that directly owns 5% or more of a class of your voting securities, or that has the right to receive upon dissolution, or has contributed, 5% or more of your capital, the trust and each trustee; and (e) if you are organized as a limited liability company ("LLC"), (i) those members that have the right to receive upon dissolution, or have contributed, 5% or more of your capital, and (ii) if https://crdnasd.comlIad/ContentlPrintHistl Adv/Pages/crd_iad_AdvAllPages.asp?RefNum=&vi... 2/14/2005