• Research Participant Questionnaire

    Approximate time to complete: 5 minutes

  • All participants must complete this questionnaire before speaking with Hawkshaw to help identify potential conflicts. Hawkshaw’s clients include investment managers that invest long and short in publicly traded securities of companies. Please answer each question and confirm your understanding of the items below. For any questions, please call 212-933-1552.

  • Format: (000) 000-0000.
  • Are you currently, or have you been within the last twelve (12) months, an officer, director, employee, or a directly-paid consultant or contractor of a publicly-traded company (or its subsidiaries)?*
  • Are you and/or your employer prohibited from discussing information relating to any publicly-traded company?*
  • Do you and/or your employer owe a duty of confidentiality to any company (other than your employer) that we need to steer clear of discussing?*
  • Are you and/or your employer subject to a non-disclosure agreement that would prohibit us from discussing any company?*
  • Are you currently in possession of any confidential or material non-public information that relates to a publicly traded company?*
  • To your knowledge, do you or your employer account for more than 5% of any publicly traded company’s revenue or cost of goods sold, whether as a customer, distributor, supplier, or reseller? For clarity, this question asks whether you or your employer are significant to the public company, not vice versa.*
  • Please confirm that you will only discuss the information for which you are authorized to speak, and that if you are not authorized to discuss an item, you agree to decline to provide that information. For example, you will refrain from sharing information relating to your employer, unless you are authorized to do so.*
  • Please confirm that you are authorized to participate in this consultation, whether by employer approval or because your employer’s policies do not require it.*
  • Please confirm that you agree that the information you provide to Hawkshaw: (a) shall not be confidential corporate information or material, non-public information; and (b) shall not have been obtained through any act of misappropriation or unlawful means or means that violate any obligation of confidentiality (including, but not limited to, any obligation created by employment or a non-disclosure agreement) or other duty you owe to the source of the information.*
  • Please confirm that, by offering your knowledge to Hawkshaw, you have sufficient knowledge to make a reasonable determination of what constitutes confidential corporate information and material, non-public information, and that, when in doubt, you will refrain from passing along such information.*
  • Please confirm that you understand that Hawkshaw clients may decide to use any or all information provided by you in the decision-making process to purchase and sell securities.*
  • Please confirm that your consultation with Hawkshaw is in your personal capacity and not on behalf of any other entity (except for an entity that is wholly owned by you).*
  • Please confirm that you agree not to transmit information to Hawkshaw if to do so would result in a violation of any law, regulation or duty that you owe to a third party. Further, you agree not to transmit information if you reasonably believe that someone breached a duty of confidence by disclosing the information to you, and you agree not to transmit information if the source of the information believes that you agreed to hold such information in confidence.*
  • You represent that you have never been: (a) convicted of a felony; or (b) the subject of an investigation by a securities regulator or other regulatory authority (state, federal or foreign); or (c) a defendant in any proceeding where fraud or violation of laws or regulations including the taking of a false oath, the making of a false report, perjury or bribery or conspiracy to commit any such offense is alleged.*
  • You acknowledge that Hawkshaw’s clients are intended third-party beneficiaries of this agreement and have the same rights and expectations as Hawkshaw with respect to any breach by you of any of the representations contained in this agreement.*
  • You agree that the call may be recorded to ensure the accuracy of a written transcription of the conversation. The transcription, which does NOT include your name, may be distributed to select paying clients of Hawkshaw and its affiliates.*
  • You agree that the Company’s products, including its data, transcripts, reports, and client lists are confidential and proprietary information of Hawkshaw and may not be shared with any third parties without the express written permission of Hawkshaw.*
  • You agree that your discussions with Hawkshaw are strictly as an independent contractor and do not create an employment relationship between you and Hawkshaw.*
  • You agree that either party may terminate this agreement at any time by notifying the other party. Your obligations contained in the acknowledgments and representations will survive the termination of this Agreement.*
  • You agree that this agreement will be governed by the laws of the State of New York. Any dispute concerning this agreement that cannot be resolved by the parties shall be resolved through arbitration by the American Arbitration Association, commercial rules, using a single arbitrator.*
  • Except to the extent prohibited by applicable law, Hawkshaw will not be liable for any indirect, incidental, consequential, or punitive damages arising out of your participation or interactions with Hawkshaw.*

  • After clicking the "Continue" button below, you'll be sent to a review screen. YOU MAY NEED TO SCROLL TO THE TOP OF THE PAGE TO FINALIZE YOUR SUBMISSION. After reviewing your answers for accuracy, please click the blue "Sign Document" button at the bottom of the review page to complete the submission. Thank you!

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