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<br />ADV All Pages
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<br />~primary Business Name: PATTERSON & ASSOCIATES
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<br />IcRD Number: 110735
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<br />,
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<br />Rev. OS/2003
<br />
<br />ADV - Annual Amendment, SCHEDULE B
<br />3/29/2004 11:09:50 AM
<br />
<br />IForm ADV, Schedule B
<br />
<br />Indirect Owners
<br />1. Complete Schedule B only if you are submitting an initial application. Schedule B asks for
<br />information about your indirect owners; you must first complete Schedule A, which asks for
<br />information about your direct owners. Use Schedule C to amend this information.
<br />2. Indirect Owners. With respect to each owner listed on Schedule A (except individual owners), list
<br />below:
<br />(a) in the case of an owner that is a corporation, each of its shareholders that beneficially owns,
<br />has the right to vote, or has the power to sell or direct the sale of, 25% or more of a class of
<br />a voting security of that corporation;
<br />
<br />For purposes of this Schedule, a person beneficially owns any securities: (I) owned by his/her
<br />child, stepchild, grandchild, parent, stepparent, grandparent, spouse, sibling, mother-in-law,
<br />father-in-law, son-in-law, daughter-In-law, brother-in-law, or sister-in-law, sharing the same
<br />residence; or (ii) that he/she has the right to acquire, within 60 days, through the exercise of
<br />any option, warrant, or right to purchase the security.
<br />(b) in the case of an owner that is a partnership, all general partners and those limited and
<br />special partners that have the right to receive upon dissolution, or have contributed, 25% or
<br />more of the partnershlp's capital;
<br />(c) in the case of an owner that is a trust, the trust and each trustee; and
<br />(d) In the case of an owner that is a limited liability company ("LlCn), (i) those members that
<br />have the right to receive upon dissolution, or have contributed, 25% or more of the UC's
<br />capital, and (ii) if managed by elected managers, all elected managers.
<br />3. Continue up the chain of ownership listing all 25% owners at each level. Once a public reporting
<br />company (a company subject to Sections 12 or lS(d) of the Exchange Act) is reached, no further
<br />ownership information need be given.
<br />4. In the DEIFEII column below, enter "DE" if the owner is a domestic entity, "FE" if the owner is an
<br />entity incorporated or domiciled in a foreign country, or RI" if the owner is an individual.
<br />5. Complete the Status column by entering the owner's status as partner, trustee, elected manager,
<br />shareholder, or member; and for shareholders or members, the class of securities owned (If more
<br />than one is issued).
<br />6. Ownership codes C - 25% but less than E - 75% or more
<br />are: 50%
<br />0- 50% but less than F - Other (general partner, trustee, or elected
<br />75% manager)
<br />7. (a) In the Control Person column, enter "Ves" if the person has control as defined in the Glossary
<br />of Terms to Form ADV, and enter "Non if the person does not have control. Note that under
<br />this definition, most executive officers and all 25% owners, general partners, elected
<br />managers, and trustees are control persons.
<br />(b) In the PR column, enter "PR" if the owner is a publiC reporting company under Sections 12 or
<br />15(d) of the Exchange Act.
<br />(c) Complete each column.
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<br />II "" /I II II "Inl II
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