The following is an excerpt from a S-1/A SEC Filing, filed by ROCKFORD OIL CORP on 5/15/2014.
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FORM S-1/A
CALCULATION OF REGISTRATION FEE
SUBJECT TO COMPLETION, DATED May ____, 2014
TABLE OF CONTENTS
PROSPECTUS SUMMARY
The Offering
RISK FACTORS
CAUTIONARY NOTE REGARDING FORWARD-LOOKING STATEMENTS
USE OF PROCEEDS
CAPITALIZATION
DILUTION
MARKET FOR COMMON EQUITY AND RELATED STOCKHOLDER MATTERS
DESCRIPTION OF BUSINESS AND PROPERTY
Competition
MANAGEMENT'S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION ...
OUR MANAGEMENT
Executive Compensation
COMPENSATION TABLE
SECURITY OWNERSHIP OF CERTAIN BENEFICIAL OWNERS AND MANAGEMENT
BENEFICIAL OWNERS
CERTAIN RELATIONSHIPS AND RELATED PARTY TRANSACTIONS
DESCRIPTION OF CAPITAL STOCK
SELLING STOCKHOLDERS
BENEFICIAL OWNERS
PLAN OF DISTRIBUTION
Index to Financial Statements
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM
BALANCE SHEET
INCOME STATEMENT
STOCKHOLDERS EQUITY
CASH FLOW
Notes to the Financial Statements
EXPERTS
LEGAL PROCEEDINGS
ADDITIONAL INFORMATION
Item 13. Other Expenses of Issuance and Distribution
Item 14. Indemnification of Directors and Officers
Item 15. Recent Sales of Unregistered Securities
Item 16. Exhibits
Item 17. Undertakings
SIGNATURES
EXHIBIT 99.4
ROCKFORD OIL CORP - S-1/A - 20140515 - BENEFICIAL_OWNERS
Name
Number
of
Shares of
Common Stock
Beneficially
Owned Prior to
Offering
(1)
Number
of
Shares of
Common
Stock Being
Offered
Acquisition of
shares
Shares
of
Common
Stock
Beneficially
Owned
After the
Offering
(1)
Percentages
Beneficially
Owned After
the Offering
Wannigan
Consulting Corp. *
Ken
Liebscher
5466
Canvasback Rd.,
Blaine,
WA 98230
360,000
360,000
For
Services
5/12/12
0
0
Gutenberg
Bank
C.
Balmelli
EVV-Desk,
Bahnofstrasse
3
Ch-8022
Zurich,
Switzerland
100,000
100,000
Private
Placement
5//24/12
0
0
VP
Bank
B.
Achermann
EVV-Desk,
Bahnofstrasse
3
Ch-8022
Zurich,
Switzerland
100,000
100,000
Private
Placement
5/25/12
0
0
Blue
Olive Ventures
Ajeltake
Rd,
Ajeltake
Island
David
Craven
Marshall
Islands HH96960
100,000
100,000
Private
Placement
5/31/12
0
0
Ergo
Investments Inc.
Steven
Drayton
Ajeltake
Rd, Ajeltake Island
Marshall
Islands HH96960
100,000
100,000
Private
Placement
5/31/12
0
0
Anatom
Associates S.A.
Yves
Raggl
Ajelltake
Rd, Ajeltake Island
Majuro,
Marshall Islands HH96960
100,000
100,000
Private
Placement
6/6/12
0
0
Sinan
Tezcan
Flat
Above 7A Wilmslow Rd.
Cheshire,
England SK8 1DW
30,000
30,000
Private
Placement
6/14/12
0
0
Jonathon
Fincher
25
Brock Rd., Cheadle
Cheshire,
England SE8 1PQ
30,000
30,000
Private
Placement
6/19/12
0
0
J.G.
Carpenter
Flat
1, 81 Clifford
Hornsea,
England HU18 1HV
30,000
30,000
Private
Placement
6/20/12
0
0
Stuart
M. Thomas
59
Wordsworth Ave. Newport Pagnell
Buckinghamshire,
England MK16 8DY
30,000
30,000
Private
Placement
6/20/12
0
0
Mark
Goodwin
20
Hornbeam Close,
Chandlers
Ford
Hants,
England SO53 4PA
30,000
30,000
Private
Placement
6/20/12
0
0
G.S.
Johnston
Wharley
Farm,
College
Rd.
Cranfield,
Beds England
30,000
30,000
Private
Placement
6/20/12
0
0
Ian
Temple
1
First Ave, Bletchley
Denbich,
England
30,000
30,000
Private
Placement
6/20/12
0
0
Melinda
Huguenin-Elie
Vullon
26,
St.
Imier, Switzerland 2610
30,000
30,000
Private
Placement
6/20/12
0
0
A.J.
Stott
5
Spinnaker Close,
Hedon
Hull
N.
Humberside, England HU12 8RE
30,000
30,000
Private
Placement
6/20/12
0
0
Robin
Saunders
8
North Way
Potterspury,
Towcester
Northamptonshire,
England NH12 7PW
30,000
30,000
Private
Placement
6/20/12
0
0
Scott
Temple
118
Down Walnut Tree, Lithfield
Milton-Keynes,
England P2K 7HW
30,000
30,000
Private
Placement
6/22/12
0
0
Morgan
Rosselet
10
Ch Du Carroz
d’Amont
St.
Cirque, Switzerland 1264
30,000
30,000
Private
Placement
6/22/12
0
0
Julian
Cisarovsky
27
rue d’Sauvling
Versoix,
Switzerland 1290
30,000
30,000
Private
Placement
6/22/12
0
0
Nicholas
Huguenin-Elie
Fritz-Marchand
19
Sonvilier,
Switzerland 2616
30,000
30,000
Private
Placement
6/22/12
0
0
C.
De Andreis
40
Chevington Dr.,
Stockport,
Cheshire,
England
SK4
3RG
30,000
30,000
Private
Placement
6/22/12
0
0
Amelia
Beguelin-Vazquez
Rue
de l’evners 21
St.
Imier, Switzerland 2610
30,000
30,000
Private
Placement
6/22/12
0
0
Virginie
Hagler
Ch
des Condes 21
Crans,
Switzerland 1289
30,000
30,000
Private
Placement
6/25/12
0
0
Mael
Rosselet
10
Ch Du Carroz
d’Amont
St.
Cirque, Switzerland 1264
30,000
30,000
Private
Placement
6/25/12
0
0
Martin
Hodgson
174
Bare Ln.,
Morecambe,
England LA4 6RV
30,000
30,000
Private
Placement
6/25/12
0
0
Laurent
Beguelin
Rue
de l’evners 21
St.
Imier, Switzerland 2610
30,000
30,000
Private
Placement
6/25/12
0
0
Diane
Goodwin
21
Beech Grove, Sale
Manchester,
England M33 6RT
30,000
30,000
Private
Placement
6/25/12
0
0
Selim
Hamida
12
Rue de Dessou
St.-Loup
Versoix,
Switzerland
30,000
30,000
Private
Placement
6/25/12
0
0
John
Hodgson
26
Brazil St.,
Hull
N.
Humberside, England HU9 1JZ
30,000
30,000
Private
Placement
6/27/12
0
0
Rachel
Walker
5
Cross St
S.
Humberside, England
30,000
30,000
Private
Placement
6/27/12
0
0
Adrian
Walker
5
Cross St.,
Barrow
Upon Humber
S.
Humberside, England DN19 7AL
30,000
30,000
Private
Placement
6/27/12
0
0
Michael
Stott
5
Spinnaker Close,
Hedon
Hull
N.
Humberside, England HU12 8RE
30,000
30,000
Private
Placement
6/27/12
0
0
Ludovic
Huguelin-Elie
Vullon
26,
St.
Imier, Switzerland 2610
30,000
30,000
Private
Placement
6/27/12
0
0
Sandy
Beguelin
Rue
de l’Evners 21
St.
Imier, Switzerland 2610
30,000
30,000
Private
Placement
6/27/12
0
0
N.
Neiderhaeusern
Fritz-Marchand
19
Sonvilier,
Switzerland 2616
30,000
30,000
Private
Placement
6/29/12
0
0
Kyle
Hinkley
7
The Dell,
Kempston
Bedford,
England
30,000
30,000
Private
Placement
6/29/12
0
0
Andre
Ostojic
3
Route d’sauvergny
Versoix,
Switzerland 1290
30,000
30,000
Private
Placement
7/10/12
0
0
Yann
Berndtson
5
Chemin de la Dime
Genthod,
Switzerland 1294
30,000
30,000
Private
Placement
7/10/12
0
0
Christophe
Louis
Clos
Beausan
Sonvilier,
Switzerland 2616
30,000
30,000
Private
Placement
7/17/12
0
0
Angelique
Frossard
Jardins
3
Court,
Switzerland
30,000
30,000
Private
Placement
7/17/12
0
0
Nicholas
Magri
La
Cure 3,
St.
Imier, Switzerland 2610
30,000
30,000
Private
Placement
7/19/12
0
0