CORPORATE REVIEW & ACTION PLAN 1Complete the questionnaire below.Anticipated time: 10 minutes 2Once you completed schedule your appointment with Phillips | Kaiser. 3Phillips | Kaiser will prepare your Corporate Review. 4Review the findings with Phillips | Kaiser. 5Receive your comprehensive Corporate Review Report to increase your understanding and improve your strategy. Step 1 of 9 - Company Information 11% Report should be addressed to:* First Last Job title Email* Phone*Company Name* Company Address* Street Address Address Line 2 City AlabamaAlaskaAmerican SamoaArizonaArkansasCaliforniaColoradoConnecticutDelawareDistrict of ColumbiaFloridaGeorgiaGuamHawaiiIdahoIllinoisIndianaIowaKansasKentuckyLouisianaMaineMarylandMassachusettsMichiganMinnesotaMississippiMissouriMontanaNebraskaNevadaNew HampshireNew JerseyNew MexicoNew YorkNorth CarolinaNorth DakotaNorthern Mariana IslandsOhioOklahomaOregonPennsylvaniaPuerto RicoRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahU.S. Virgin IslandsVermontVirginiaWashingtonWest VirginiaWisconsinWyomingArmed Forces AmericasArmed Forces EuropeArmed Forces Pacific State ZIP Code Company Website Entity Type (e.g. LLC, Corporation, Partnership, etc.)* LLC C Corp Partnership S Corp Other Entity State* Please describe the Company's Business* General Corporate Information1a. How many board members do you have?*012345678910+1b. How are they compensated?* 1c. What is the relation to the company (i.e. investor, family, unrelated, etc.)?* 2. Please complete the following information of the Company's OfficersClick the plus button to the right of the inputs to add more officers. Name of OfficerTitle 3. Has the company had any loans TO and/or FROM Shareholders, Directors, or Officers?* Yes No 4. If applicable, what is the approximate date of the Company's most recent Annual Shareholders meeting? 5. If applicable, what is the approximate date of the Company's most recent Annual Board of Director's meeting? 6. Are the Company's corporate minute books up-to-date?* Yes No 7. In regards to your corporate structure, are there any related entities?* Yes No 7a. Please describe your corporate structure7b. List your corporate entities.Click the plus button to the right of the inputs to add more entities. Entity NameParent or Subsidiary Equity/Ownership8. Has the Company sold or redeemed any equity (e.g., stock, membership, or partnership interest)?* Yes No 9. Does the stock unit ledger properly reflect these transactions?* Yes No Not Applicable 9. Are there different classes of equity/ownership rights of the Company (e.g., voting, dividends, selling, or assigning)?* Yes No 10a. Are there any shareholder, partnership, or ownership issues of special concern?* Yes No 10b. Please briefly describe. Personnel and Employee Relations11a. Does the Company have an employment handbook for its employees?* Yes No 11b. Do you provide employee training related to the handbook and policies?* Yes No 11c. Please indicate which of the following policies are included. Conflict of Interest Environmental and Workplace Compliance Confidential Information Political Activity Delegation of Authority Harassment Computer and Internet Use Data Privacy / Data Security Social Media Use of Independent Contractors Foreign Corrupt Practices Act Other policies 11d. Please add additional comments on compliance policy and program as appropriate.12. Please indicate which of the following agreements the Company has with any of its employees, officers or directors. Non-compete Agreements Employment Agreements IP Assignment Agreements Confidentiality Agreements 13a. Has the Company had any hiring, firing, non-discrimination, or harassment claims in the last 3 years?* Yes No 13b. Please briefly describe.14. Does the Company have a process for handling any hiring, firing, non-discrimination, or harassment claims?* Yes No 15a. Does the Company have any individual or employee bonus, stock option plans, 401(k) plans, or any other employee incentive plans?* Yes No 15b. Please describe the basic terms. Regulatory and Compliance16. Are there key licenses, permits, or formal legal compliance requirements necessary for the Company to conduct its business?* Yes No 17a. Are such licenses or permits current for all of the Company's business operations? Yes No 17b. You answered "No", please briefly describe what is required to bring them current or why they are not current.18. Is the Company properly registered in each state where it conducts business operations? (this does not include internet or mail orders) Yes No 19. Does the Company transact business in other states or foreign countries? Yes No Intellectual Property20. Which of the following forms of intellectual property does the Company have? Patent Copyright TM Trade Secrets 21. Briefly describe the processes and policies in place to manage and protect your Intellectual Property:Contracts System22. Please check to indicate if the Company has a current contracts policy or process regarding any of the following. Standard terms and conditions for key contracts Negotiating and entering into contracts Administering executed contracts Tracking of key terms, dates, and notice requirements for contracts Customer and Supplier Relations23. Does any single customer account for more than 10% of the Company's revenue?* Yes No 24. Are there any customers or contracts that, if lost, would materially impact the Company?* Yes No 25. Would the loss of a key supplier impact the Company's ability to meet its business goals?* Yes No 26. Please describe your accounts receivables history and policy. Other Significant Information27a. Has the Company been a party to any litigation within the past 3 years?* Yes No 27b. If "Yes", please briefly describe the nature of the suit and current status.28. If yes, has the Company taken steps to reduce the risk of similar litigation in the future? Yes No 29. Does the company own or lease any real property?* Yes No 30a. Has the Company entered into any joint ventures or partnerships, or strategic technology development/licensing transactions?* Yes No 30b. If "Yes" please briefly describe.31. Are customs and export activities significant to the business of the Company?* Yes No Strategic Objectives/Challenges/Initiatives32. What are the Company's strategic objectives for the next 3-5 years (e.g., growth, technology, acquisitions, etc.)?33. What are the Company's 1-3 biggest challenges to meeting its long-term strategic goals and objectives (e.g., people, sales, revenue growth, technology, etc.)?34. What major trends in your industry or beyond look to significantly impact the Company's success or failure both now and in the future (3-5 years)? 16952
