Schedule Supporting Application For Waiver Of NGC Reg 16.430 As Institutional Investor {PTC-430}

PTC-430 - SCHEDULE SUPPORTING APPLICATION FOR A WAIVER OF NGC REGULATION 16.430 AS AN INSTITUTIONAL INVESTOR. This form is used by institutional investors to apply for a waiver under Nevada Gaming Commission Regulation 16.430, which governs the ownership of voting securities in Nevada-registered publicly traded corporations (Nevada PTCs). This form allows an institutional investor to request permission to hold more than 10%—and in some cases more than 25%—of a Nevada PTC’s voting securities without triggering full licensure requirements, provided the ownership is for passive investment purposes only. The applicant must establish that it qualifies as an “institutional investor” under NGC Regulation 16.010(14) and disclose detailed information about its holdings, the purpose of those holdings, and the individuals and entities who have control or influence over its investment decisions. The form also requires disclosure of beneficial owners, affiliates, regulatory filings, internal compliance controls, and any legal or regulatory actions taken against the applicant or its affiliates. Supporting documents, such as SEC filings (e.g., Schedule 13D/13G), are required to verify the nature of the investment and demonstrate regulatory compliance. Form PTC-430 is treated as confidential and is not considered a public record under Nevada law, distinguishing it from the companion Form PTC-1. www.FormsWorkflow.com