<SEC-DOCUMENT>0001654954-20-010597.txt : 20200929
<SEC-HEADER>0001654954-20-010597.hdr.sgml : 20200929
<ACCEPTANCE-DATETIME>20200929155408
ACCESSION NUMBER:		0001654954-20-010597
CONFORMED SUBMISSION TYPE:	8-A12B
PUBLIC DOCUMENT COUNT:		1
FILED AS OF DATE:		20200929
DATE AS OF CHANGE:		20200929

FILER:

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			TOMI Environmental Solutions, Inc.
		CENTRAL INDEX KEY:			0000314227
		STANDARD INDUSTRIAL CLASSIFICATION:	INDUSTRIAL ORGANIC CHEMICALS [2860]
		IRS NUMBER:				591947988
		STATE OF INCORPORATION:			FL
		FISCAL YEAR END:			1231

	FILING VALUES:
		FORM TYPE:		8-A12B
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-39574
		FILM NUMBER:		201208847

	BUSINESS ADDRESS:	
		STREET 1:		9454 WILSHIRE BLVD.
		STREET 2:		PENTHOUSE
		CITY:			BEVERLY HILLS
		STATE:			CA
		ZIP:			90212
		BUSINESS PHONE:		8005251698

	MAIL ADDRESS:	
		STREET 1:		9454 WILSHIRE BLVD.
		STREET 2:		PENTHOUSE
		CITY:			BEVERLY HILLS
		STATE:			CA
		ZIP:			90212

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	Ozone Man, Inc.
		DATE OF NAME CHANGE:	20071130

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	RPS GROUP INC
		DATE OF NAME CHANGE:	19940818

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	DAUPHIN INC
		DATE OF NAME CHANGE:	19940818
</SEC-HEADER>
<DOCUMENT>
<TYPE>8-A12B
<SEQUENCE>1
<FILENAME>tomz_8a12b.htm
<DESCRIPTION>8-A12B
<TEXT>
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TOMI Environmental Solutions, Inc.</font></div>
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Florida</font></div>
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9454 Wilshire Boulevard, Penthouse</font></div>
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Beverly Hills, California</font></div>
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each class is to be registered</font></div>
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Common Stock, par value $0. 01 per share</font></div>
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The Nasdaq Stock Market LLC<br></font></div>
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INFORMATION REQUIRED IN REGISTRATION STATEMENT</font></div>
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Item 1. Description of Registrant&#x2019;s Securities to be
Registered.</font></div>
<div><font style="font-family: Times New Roman; font-size: 10">&#xA0;</font></div>
<div style="text-align: left; margin-left: 0px; margin-right: 0px; text-indent: 48px">
<font style="font-family: Times New Roman; font-size: 13px"><font style="color: #000000">TOMI Environmental Solutions, Inc. (the
&#x201C;Company&#x201D;) is currently authorized to issue 250,000,000
shares of common stock, par value $0.01 per share (the
&#x201C;Common Stock&#x201D;), 1,000,000 shares of</font>
<font style="color: #000000">convertible $0.01 preferred A stock,
par value $0.01 per share (the &#x201C;Series A Preferred
Stock&#x201D;), and 4,000 shares of</font> <a name="_9kR3WTr266489WVrghu8wjH">
<!--anchor--></a><font style="color: #000000">Series B preferred
stock, with a stated value of $1000 per share (the &#x201C;Series B
Preferred Stock&#x201D; and, together with the Series A Preferred
Stock, the &#x201C;Preferred Stock&#x201D;).</font></font></div>
<div style="text-align: justify; margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="font-family: Times New Roman; font-size: 13px">&#xA0;</font></div>
<div style="text-align: left; margin-left: 0px; margin-right: 0px; text-indent: 48px">
<font style="font-family: Times New Roman; font-size: 13px">On
September 10, 2020, the Company completed a 1-for-8 reverse split
of the Company&#x2019;s outstanding shares of the Common Stock and
the Series A Preferred Stock. The reverse stock split had no effect
on the applicable par values per share of the Common Stock or the
Series A Preferred Stock. As of September 25, 2020, after giving
effect to the completion of the reverse stock split, there were
16,748,513 shares of Common Stock outstanding, held by
approximately 247 shareholders of record, although the Company
believes there to be a significantly larger number of beneficial
owners of Common Stock, 63,750 shares of Series A Preferred Stock
held by one shareholder, and no shares of the Series B Preferred
Stock outstanding.</font></div>
<div style="text-align: justify; margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="font-family: Times New Roman; font-size: 13px">&#xA0;</font></div>
<div style="text-align: left; margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="font-weight: bold; font-family: Times New Roman; font-size: 13px">
Common Stock</font></div>
<div style="text-align: justify; margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="font-family: Times New Roman; font-size: 13px">&#xA0;</font></div>
<div style="text-align: left; margin-left: 0px; margin-right: 0px; text-indent: 60px">
<font style="font-family: Times New Roman; font-size: 13px">The
holders of the Common Stock are entitled to one vote per share on
all matters submitted to a vote of the Company&#x2019;s
shareholders. The Company has not provided for cumulative voting
for the election of directors in the Company&#x2019;s amended and
restated articles of incorporation or amended bylaws. The holders
of the Common Stock are entitled to receive ratably the dividends
out of funds legally available if the Company&#x2019;s board of
directors (the &#x201C;Board&#x201D;), in its discretion, determines
to issue dividends and then only at the times and in the amounts
that the Board may determine. The Common Stock is not entitled to
redemption rights, preemptive rights, conversion rights, and it is
not subject to any sinking fund provisions. The outstanding shares
of Common Stock are fully paid and non-assessable. The outstanding
shares of Common Stock are not liable to further call or to
assessment by the Company. If the Company becomes subject to a
liquidation event, dissolution or winding-up, the assets legally
available for distribution to the Company&#x2019;s shareholders
would be distributable ratably among the holders of the Common
Stock and any participating Preferred Stock outstanding at that
time, subject to prior satisfaction of all outstanding debt and
liabilities and the preferential rights of and the payment of
liquidation preferences, if any, on any outstanding shares of
Preferred Stock. The rights, powers, preferences and privileges of
holders of Common Stock are subordinate to, and may be adversely
affected by, the rights of the holders of shares of the Preferred
Stock and any series of preferred stock which may be designated and
issued in the future. No shareholders hold any registration
rights.</font></div>
<div style="text-align: justify; margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="font-family: Times New Roman; font-size: 13px">&#xA0;</font></div>
<div style="text-align: left; margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="font-weight: bold; font-family: Times New Roman; font-size: 13px">
Transfer Agent and Registrar</font></div>
<div style="text-align: left; margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="font-family: Times New Roman; font-size: 13px">&#xA0;</font></div>
<div style="text-align: left; margin-left: 0px; margin-right: 0px; text-indent: 48px">
<font style="font-family: Times New Roman; font-size: 13px">The
transfer agent and registrar for the Common Stock is Continental
Stock Transfer &amp; Trust Company. The transfer agent&#x2019;s
address is 1 State Street, 30th Floor, New York, New York
10004-1561 and its telephone number is (212) 509-4000.</font></div>
<div style="text-align: justify; margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="font-family: Times New Roman; font-size: 13px">&#xA0;</font></div>
<div style="text-align: left; margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="font-weight: bold; font-family: Times New Roman; font-size: 13px">
Dividend Policy</font></div>
<div style="text-align: justify; margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="font-family: Times New Roman; font-size: 13px">&#xA0;</font></div>
<div style="text-align: left; margin-left: 0px; margin-right: 0px; text-indent: 48px">
<font style="font-family: Times New Roman; font-size: 13px">The
Board has never declared or paid any cash dividends on the Common
Stock, and the Board does not currently intend to pay any cash
dividends on the Common Stock for the foreseeable future. The
Boards expects to retain future earnings, if any, to fund the
development and growth of the Company&#x2019;s business. Any future
determination to pay dividends will be at the discretion of the
Board and will depend upon, among other factors, the
Company&#x2019;s financial condition, operating results, current and
anticipated cash needs, plans for expansion and other factors that
the Board may deem relevant.</font></div>
<div style="text-align: justify; margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="font-family: Times New Roman; font-size: 13px">&#xA0;<br>
</font></div>
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<div id="pn" style="text-align: center"><font style="font-family: Times New Roman; font-size: 13px">2</font></div>
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<font style="font-family: Times New Roman; font-size: 13px">&#xA0;</font></div>
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<font style="font-weight: bold; color: #000000; font-family: Times New Roman; font-size: 13px">
Anti-Takeover Provisions of the Company&#x2019;s Organizing
Documents</font></div>
<div style="text-align: justify; margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="font-family: Times New Roman; font-size: 13px">&#xA0;</font></div>
<div style="text-align: left; margin-left: 0px; margin-right: 0px; text-indent: 48px">
<font style="font-family: Times New Roman; font-size: 13px"><font style="color: #000000">The Company&#x2019;s amended and restated articles
of incorporation and its amended bylaws include a number of
provisions that could deter takeovers or delay or prevent changes
in control of the Company, as well as changes in</font> its Board
<font style="color: #000000">or management team, including the
following:</font></font></div>
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<font style="font-family: Times New Roman; font-size: 13px">&#xA0;</font></div>
<div style="text-align: left; margin-left: 0px; margin-right: 0px; text-indent: 48px">
<font style="font-family: Times New Roman; font-size: 13px"><font style="font-style: italic; color: #000000">Authorized but Unissued
Share</font><font style="color: #000000">s. The authorized but
unissued shares of the Common Stock and Preferred Stock will be
available for future issuance without shareholder approval, subject
to applicable law and the rules of</font> The Nasdaq Stock Market
LLC<font style="color: #000000">. These additional shares may be
used for a variety of corporate purposes, including future public
offerings to raise additional capital, acquisitions, and employee
benefit plans. The existence of authorized but unissued shares of
Common Stock or Preferred Stock may enable the Board to render more
difficult or to discourage an attempt to obtain control of us by
means of a merger, tender offer, proxy contest or
otherwise.</font></font></div>
<div style="text-align: justify; margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="font-family: Times New Roman; font-size: 13px">&#xA0;</font></div>
<div style="text-align: left; margin-left: 0px; margin-right: 0px; text-indent: 48px">
<font style="font-family: Times New Roman; font-size: 13px"><font style="font-style: italic; color: #000000">Board Size; Director
Appointment and Removal of Directors</font><font style="color: #000000">. The exact number of directors of the Board will
be fixed from time to time only by a resolution adopted by a
majority of the total number of authorized directors. Further,
vacancies on the Board may be filled by the affirmative vote of a
majority of the remaining directors.</font> Accordingly,
shareholders may not be able to initially fill a particular vacancy
with their preferred nominee; however <font style="color: #000000">the Company&#x2019;s amended bylaws provide that
directors may be removed with or without cause by the shareholders
pursuant to Section 607.0808 of</font> <font style="color: #000000">Florida&#x2019;s</font> <font style="color: #000000">Business Corporation Act (&#x201C;FBCA&#x201D;),
providing shareholders a right to remove directors as they
desire.</font></font></div>
<div style="text-align: justify; margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="font-family: Times New Roman; font-size: 13px">&#xA0;</font></div>
<div style="text-align: left; margin-left: 0px; margin-right: 0px; text-indent: 48px">
<font style="font-family: Times New Roman; font-size: 13px"><font style="font-style: italic; color: #000000">No Cumulative
Voting</font><font style="color: #000000">. The Company&#x2019;s
shareholders do not have the right to cumulate votes in the
election of directors of the Board, therefore allowing the holders
of a majority of the shares of Common Stock entitled to vote in any
election of directors of the Board to elect all of the directors
standing for election, if they should so
choose.</font></font></div>
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<font style="font-family: Times New Roman; font-size: 13px">&#xA0;</font></div>
<div style="text-align: left; margin-left: 0px; margin-right: 0px; text-indent: 48px">
<font style="font-family: Times New Roman; font-size: 13px"><font style="font-style: italic; color: #000000">Shareholder Action; Special
Meeting of Shareholders</font><font style="color: #000000">.
Special meetings of the Company&#x2019;s shareholders may be called
only by a majority of</font> the Company&#x2019;s Board<font style="color: #000000">, thus prohibiting a shareholder from calling a
special meeting. These provisions might delay the ability of the
Company&#x2019;s shareholders to force consideration of a proposal
or for shareholders controlling a majority of the Company&#x2019;s
capital stock to take any action, including the removal of
directors.</font></font></div>
<div style="text-align: justify; margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="font-family: Times New Roman; font-size: 13px">&#xA0;</font></div>
<div style="text-align: left; margin-left: 0px; margin-right: 0px; text-indent: 48px">
<font style="font-family: Times New Roman; font-size: 13px"><font style="color: #000000">Each of the foregoing provisions will make it more
difficult for the Company&#x2019;s existing shareholders to replace
the Board as well as for another party to obtain control of the
Company by replacing the</font> Board<font style="color: #000000">.
Since the Board has the power to retain and discharge the
Company&#x2019;s officers, these provisions could also make it more
difficult for existing shareholders or another party to effect a
change in management. In addition, the authorization of
undesignated Preferred Stock makes it possible for the Board to
issue Preferred Stock with voting or other rights or preferences
that could impede the success of any attempt to change the control
of the Company.</font></font></div>
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<font style="font-family: Times New Roman; font-size: 13px">&#xA0;</font></div>
<div style="text-align: left; margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="font-weight: bold; color: #000000; font-family: Times New Roman; font-size: 13px">
Anti-Takeover Provisions under Florida Law</font></div>
<div><font style="font-family: Times New Roman; font-size: 10">&#xA0;</font></div>
<div style="text-align: left; margin-left: 0px; margin-right: 0px; text-indent: 48px">
<font style="color: #000000; font-family: Times New Roman; font-size: 13px">The
Company is governed by two provisions of the FBCA that may deter or
frustrate takeovers of Florida corporations.</font></div>
<div><font style="font-family: Times New Roman; font-size: 10">&#xA0;</font></div>
<div style="text-align: left; margin-left: 0px; margin-right: 0px; text-indent: 48px">
<font style="color: #000000; font-family: Times New Roman; font-size: 13px">The
Florida Control Share Act (FBCA &#xA7; 607.0902) generally provides
that shares acquired in excess of certain specified thresholds,
without first obtaining the approval of the Board, will not possess
any voting rights unless such voting rights are approved by a
majority of the Company&#x2019;s disinterested
shareholders.</font></div>
<div><font style="font-family: Times New Roman; font-size: 10">&#xA0;</font></div>
<div style="text-align: left; margin-left: 0px; margin-right: 0px; text-indent: 48px">
<font style="color: #000000; font-family: Times New Roman; font-size: 13px">The
Florida Affiliated Transactions Act (FBCA &#xA7; 607.0901) requires
that, subject to certain exceptions, any affiliated transaction
with a shareholder that owns more than 15% of the voting shares of
the&#xA0;corporation, referred to as an &#x201C;interested
shareholder,&#x201D; receive the approval of either the
corporation&#x2019;s disinterested directors or a supermajority vote
of disinterested shareholders, or, absent either such approval,
that a statutory &#x201C;fair price&#x201D; be paid to the
shareholders in the transaction. The shareholder vote requirement
is in addition to any shareholder vote required under any other
section of the FBCA or the Company&#x2019;s amended and restated
articles of incorporation.</font></div>
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<div id="pn" style="text-align: center"><font style="font-family: Times New Roman; font-size: 13px">3</font></div>
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<font style="font-family: Times New Roman; font-size: 13px">&#xA0;</font></div>
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<font style="font-weight: bold; color: #000000; font-family: Times New Roman; font-size: 13px">
Limitation of Liability and Indemnification</font></div>
<div><font style="font-family: Times New Roman; font-size: 10">&#xA0;</font></div>
<div style="text-align: left; margin-left: 0px; margin-right: 0px; text-indent: 48px">
<font style="font-family: Times New Roman; font-size: 13px"><font style="color: #000000">Florida law also authorizes the Company to
indemnify directors, officers, employees and agents under certain
circumstances and to limit the personal liability of corporate
directors for monetary damages, except where the directors (i)
breach their fiduciary duties and (ii) such breach constitutes or
includes certain violations of criminal law, a transaction from
which the directors derived an improper personal benefit, certain
unlawful distributions or certain other reckless, wanton or willful
acts or misconduct. The Company&#x2019;s amended bylaws do not
provide for the indemnification of the Company&#x2019;s current and
former directors and officers, thus the only right of
indemnification that the Company&#x2019;s current and former
directors and officers have is a right of indemnification should
such director or officer succeed against a claim brought against
them because they were a director or officer of the Company as set
out under FBCA &#xA7; 607.0852.</font> The Company has obtained a
directors&#x2019; and officers&#x2019; liability insurance policy
covering its current and former directors and
officers.</font></div>
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<font style="font-family: Times New Roman; font-size: 13px">&#xA0;</font></div>
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<font style="font-family: Times New Roman; font-size: 13px">&#xA0;</font></div>
<div style="text-align: justify; margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="font-weight: bold; font-family: Times New Roman; font-size: 13px">
Item 2. Exhibits.</font></div>
<div><font style="font-family: Times New Roman; font-size: 10">&#xA0;</font></div>
<div style="text-align: left; margin-left: 0px; margin-right: 0px; text-indent: 48px">
<font style="font-family: Times New Roman; font-size: 13px">Under
the Instructions as to Exhibits with respect to Form 8-A, no
exhibits are required to be filed because no other securities of
the Company are registered on The Nasdaq Stock Market LLC and the
securities registered hereby are not being registered pursuant to
Section 12(g) of the Securities Exchange Act of 1934, as
amended.</font></div>
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<font style="font-weight: bold; font-family: Times New Roman; font-size: 13px">
SIGNATURE</font></div>
<div><font style="font-family: Times New Roman; font-size: 10">&#xA0;</font></div>
<div style="text-align: left; margin-left: 0px; margin-right: 0px; text-indent: 48px">
<font style="font-family: Times New Roman; font-size: 13px">Pursuant to the
requirements of Section 12 of the Securities Exchange Act of 1934,
the registrant has duly caused this registration statement to be
signed on its behalf by the undersigned, thereto duly
authorized.</font></div>
<div><font style="font-family: Times New Roman; font-size: 10">&#xA0;</font></div>
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</td>
<td colspan="2" rowspan="1" style="vertical-align: bottom; width: 38%;">
<div><font style="font-weight: bold; font-family: Times New Roman; font-size: 13px">TOMI
ENVIRONMENTAL SOLUTIONS, INC.</font></div>
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<font style="font-size: 13px; font-family: Times New Roman">&#xA0;</font></div>
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<font style="font-size: 13px; font-family: Times New Roman">&#xA0;</font></div>
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<td style="vertical-align: top; width: 50%; border-bottom: medium solid rgb(255, 255, 255);">
<div style="text-align: left; margin-left: 0px; margin-right: 0px; text-indent: 0px"><font style="font-size: 13px; font-family: Times New Roman"><font style="font-family: Times New Roman; font-size: 13px">Date: September 29,
2020</font></font></div>
</td>
<td style="vertical-align: top; width: 3%; border-bottom: medium solid rgb(255, 255, 255);">
<div style="text-align: left; margin-left: 0px; margin-right: 0px; text-indent: 0px"><font style="font-size: 13px; font-family: Times New Roman">By:&#xA0;&#xA0;</font></div>
</td>
<td style="vertical-align: top; width: 35%; border-bottom: 2px solid black; white-space: nowrap;">
<div style="text-align: left; margin-left: 0px; margin-right: 0px; text-indent: 0px"><font style="font-size: 13px; font-family: Times New Roman">/s/&#xA0;
<font style="font-family: Times New Roman; font-size: 13px">Halden
S. Shane</font></font></div>
</td>
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<div style="margin-left: 0px; margin-right: 0px; text-indent: 0px">
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<font style="font-size: 13px; font-family: Times New Roman">&#xA0;</font></div>
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<div style="text-align: left; margin-left: 0px; margin-right: 0px; text-indent: 0px"><font style="font-size: 13px; font-family: Times New Roman">Name:&#xA0;
<font style="font-family: Times New Roman; font-size: 13px">Halden
S. Shane</font></font></div>
</td>
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<div style="margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="font-size: 13px; font-family: Times New Roman">&#xA0;</font></div>
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<td style="width: 35%; vertical-align: top;">
<div style="margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="font-size: 13px; font-family: Times New Roman">Title:&#xA0;
<font style="font-family: Times New Roman; font-size: 13px">Chief
Executive Officer</font></font></div>
</td>
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<div style="margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="font-size: 13px; font-family: Times New Roman">&#xA0;</font></div>
</td>
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<font style="font-family: Times New Roman; font-size: 13px;">&#xA0;</font></div>
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<font style="font-family: Times New Roman; font-size: 13px;">&#xA0;</font></div>
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