Court filing
Exhibit 1 - Loan Document of Plaintiff Marshall — Marshall Prestamos (Dkt. 139.2)
Filed September 6, 2024 in Marshall Prestamos; one of 344 filings from this case.
Record facts
| Court | U.S. District Court for the Eastern District of Pennsylvania |
|---|---|
| Filed | 2024-09-06 |
U.S. District Court for the Eastern District of Pennsylvania · No. 5:21-cv-04337-JMG · Doc. 139-2 · 2024-09-06 · Docket on CourtListener
Full text
Case 5:21-cv-04337-JMG
Document 139-2
Filed 09/06/24
Page 1 of 14
EX. 1 -- THE LOAN DOCUMENT CONTRACT
BETWEEN PRESTAMOS AND
PLAINTIFF MARSHALL
Case 5:21-cv-04337-JMG
Document 139-2
Filed 09/06/24
Page 2 of 14
U.S. Small Business Administration
NOTE
SBA Loan #
8282208801
SBA Loan Name
Paycheck Protection Program
Date
4/29/2021
Loan Amount
$ 7915
Interest Rate
Fixed at 1%
Borrower
Alicia Marshall
Operating Company
Alicia Marshall
Lender
1.
Prestamos CDFI, LLC
PROMISE TO PAY:
In return for the Loan, Borrower promises to pay to the order of Lender the amount of
$ 7915
_______________________________________________________________________________________
Dollars,
interest on the unpaid principal balance, and all other amounts required by this Note.
2.
DEFINITIONS:
“Collateral” means any property taken as security for payment of this Note or any guarantee of this Note.
“ Guarantor” means each person or entity that signs a guarantee of payment of this Note.
“Loan” means the loan evidenced by this Note.
“Loan Documents” means the documents related to this loan signed by Borrower, any Guarantor, or anyone who
pledges collateral.
“SBA” means the Small Business Administration, an Agency of the United States of America.
SBA Form 147 (06/03/02) Version 4.1
Page 1/6
Case 5:21-cv-04337-JMG
3.
Document 139-2
Filed 09/06/24
Page 3 of 14
PAYMENT TERMS:
Borrower must make all payments at the place Lender designates. The payment terms for this Note are:
Initial Deferment Period: No payments are due on this loan beginning on the date of first disbursement of this loan until
the loan forgiveness payment is remitted to the Lender by the SBA. Interest will continue to accrue during the deferment
period.
Loan Forgiveness:
First Draw PPP Loans made to eligible borrowers qualify for full loan forgiveness if during the 8- to 24-week covered
period following loan disbursement:
oEmployee and compensation levels are maintained
oThe loan proceeds are spent on payroll costs and other eligible expenses; and
oAt least 60 percent of the proceeds are spent on payroll costs
Second Draw PPP Loans made to eligible borrowers qualify for full loan forgiveness if during the 8 to 24 week covered
period following loan disbursement:
oEmployee and compensation levels are maintained in the same manner as required for the First Draw PPP loan
oThe loan proceeds are spent on payroll costs and other eligible expenses; and
oAt least 60 percent of the proceeds are spent on payroll costs
The amount of loan forgiveness shall be calculated (and may be reduced) in accordance with the requirements of the
Paycheck Protection Program, including the provisions of Section 1106 of the Coronavirus Aid, Relief, and Economic
Security Act (CARES Act). Not more than 40% of the amount forgiven can be attributable to non-payroll costs.
Maturity: This Note will mature five years from date of first disbursement of this loan.
Repayment Terms: The interest rate on this Note is one percent per year. The interest rate is fixed and will not be
changed during the life of the loan.
For any amounts that remain owing on this Note after the SBA remits the forgiveness payment, Borrower must pay
principal and interest payments, in such amount as is required to fully amortize the unpaid balance of this Note over the
remaining term, beginning one (1) month following the SBA's forgiveness payment. If a forgiveness application is not
made within ten (10) months of the last day of the covered period, Borrower must pay principal and interest payments in
such amount as is required to fully amortize the unpaid balance of this Note over the remaining term. Payments must be
made on the 1st calendar day in the months they are due.
Lender will apply each installment payment first to pay interest accrued to the day Lender received the payment, then to
bring principal current, and will apply any remaining balance to reduce principal.
Loan Prepayment: Notwithstanding any provision in this Note to the contrary:
Borrower may prepay this Note at any time without penalty. Borrower may prepay 20 percent or less of the unpaid
principal balance at any time without notice. If Borrower prepays more than 20 percent and the Loan has been sold on the
secondary market, Borrower must: a. Give Lender written notice; b. Pay all accrued interest; and c. If the prepayment is
received less than 21 days from the date Lender received the notice, pay an amount equal to 21 days interest from the date
lender received the notice, less any interest accrued during the 21 days and paid under b. of this paragraph. If Borrower
does not prepay within 30 days from the date Lender received the notice, Borrower must give Lender a new notice.
Non-Recourse: Lender and SBA shall have no recourse against any individual shareholder, member or partner of
Borrower for non-payment of the loan, except to the extent that such shareholder, member or partner uses the loan
proceeds for an unauthorized purpose.
SBA Form 147 (06/03/02) Version 4.1
Page 2/6
Case 5:21-cv-04337-JMG
4.
Document 139-2
Filed 09/06/24
Page 4 of 14
DEFAULT:
Borrower is in default under this Note if Borrower does not make a payment when due under this Note, or if Borrower
or Operating Company:
5.
A.
Fails to do anything required by this Note and other Loan Documents;
B.
Defaults on any other loan with Lender;
C.
Does not preserve, or account to Lender’s satisfaction for, any of the Collateral or its proceeds;
D.
Does not disclose, or anyone acting on their behalf does not disclose, any material fact to Lender or SBA;
E.
Makes, or anyone acting on their behalf makes, a materially false or misleading representation to Lender or SBA;
F.
Defaults on any loan or agreement with another creditor, if Lender believes the default may materially affect
Borrower’s ability to pay this Note;
G.
Fails to pay any taxes when due;
H.
Becomes the subject of a proceeding under any bankruptcy or insolvency law;
I.
Has a receiver or liquidator appointed for any part of their business or property;
J.
Makes an assignment for the benefit of creditors;
K.
Has any adverse change in financial condition or business operation that Lender believes may materially affect
Borrower’s ability to pay this Note;
L.
Reorganizes, merges, consolidates, or otherwise changes ownership or business structure without Lender’s prior
written consent; or
M.
Becomes the subject of a civil or criminal action that Lender believes may materially affect Borrower’s ability to
pay this Note.
LENDER’S RIGHTS IF THERE IS A DEFAULT:
Without notice or demand and without giving up any of its rights, Lender may:
6.
A.
Require immediate payment of all amounts owing under this Note;
B.
Collect all amounts owing from any Borrower or Guarantor;
C.
File suit and obtain judgment;
D.
Take possession of any Collateral; or
E.
Sell, lease, or otherwise dispose of, any Collateral at public or private sale, with or without advertisement.
LENDER’S GENERAL POWERS:
Without notice and without Borrower’s consent, Lender may:
A.
Bid on or buy the Collateral at its sale or the sale of another lienholder, at any price it chooses;
B.
Incur expenses to collect amounts due under this Note, enforce the terms of this Note or any other Loan
Document, and preserve or dispose of the Collateral. Among other things, the expenses may include payments
for property taxes, prior liens, insurance, appraisals, environmental remediation costs, and reasonable attorney’s
fees and costs. If Lender incurs such expenses, it may demand immediate repayment from Borrower or add the
expenses to the principal balance;
C.
Release anyone obligated to pay this Note;
D.
Compromise, release, renew, extend or substitute any of the Collateral; and
E.
Take any action necessary to protect the Collateral or collect amounts owing on this Note.
SBA Form 147 (06/03/02) Version 4.1
Page 3/6
Case 5:21-cv-04337-JMG
7.
Document 139-2
Filed 09/06/24
Page 5 of 14
WHEN FEDERAL LAW APPLIES:
When SBA is the holder, this Note will be interpreted and enforced under federal law, including SBA regulations.
Lender or SBA may use state or local procedures for filing papers, recording documents, giving notice, foreclosing
liens, and other purposes. By using such procedures, SBA does not waive any federal immunity from state or local
control, penalty, tax, or liability. As to this Note, Borrower may not claim or assert against SBA any local or state law
to deny any obligation, defeat any claim of SBA, or preempt federal law.
8.
SUCCESSORS AND ASSIGNS:
Under this Note, Borrower and Operating Company include the successors of each, and Lender includes its successors
and assigns.
9.
GENERAL PROVISIONS:
A.
All individuals and entities signing this Note are jointly and severally liable.
B.
Borrower waives all suretyship defenses.
C.
Borrower must sign all documents necessary at any time to comply with the Loan Documents and to enable
Lender to acquire, perfect, or maintain Lender’s liens on Collateral.
D.
Lender may exercise any of its rights separately or together, as many times and in any order it chooses. Lender
may delay or forgo enforcing any of its rights without giving up any of them.
E.
Borrower may not use an oral statement of Lender or SBA to contradict or alter the written terms of this Note.
F.
If any part of this Note is unenforceable, all other parts remain in effect.
G.
To the extent allowed by law, Borrower waives all demands and notices in connection with this Note, including
presentment, demand, protest, and notice of dishonor. Borrower also waives any defenses based upon any claim
that Lender did not obtain any guarantee; did not obtain, perfect, or maintain a lien upon Collateral; impaired
Collateral; or did not obtain the fair market value of Collateral at a sale.
SBA Form 147 (06/03/02) Version 4.1
Page 4/6
Case 5:21-cv-04337-JMG
Document 139-2
Filed 09/06/24
Page 6 of 14
10. STATE-SPECIFIC PROVISIONS:
None
Unless otherwise prohibited by law, the following additional provisions will apply:
Release of Lender. In consideration of the agreement of the Lender to provide this Note, and other good and
valuable consideration, which consideration is agreed by Borrower to be good and sufficient, Borrower RELEASES,
ACQUITS AND FOREVER DISCHARGES the Lender, its directors, officers, shareholders, agents, contractors,
employees, affiliates, attorneys, successors and assigns from any and all claims, demands, liens, damages, actions
or suits, of whatsoever nature or character, whether statutory (including without limitation usury and deceptive trade
practices claims), in contract or in tort, known or unknown, which have accrued or may accrue to Borrower or any
creditor or affiliate of Borrower on account of any injuries, damages or losses or otherwise arising out of or in any
way connected to (i) any extension of credit by the Lender to Borrower on or prior to the date hereof, or (ii) any
matter or thing done, omitted or suffered to be done by the Lender, its directors, officers, shareholders, agents,
employees, affiliates, attorneys, predecessors or assignors on or prior to the date hereof.
Notwithstanding anything else contained herein, this Note is not secured and there are no guarantors.
SBA Form 147 (06/03/02) Version 4.1
Page 5/6
Case 5:21-cv-04337-JMG
Document 139-2
Filed 09/06/24
Page 7 of 14
11. BORROWER’S NAME(S) AND SIGNATURE(S):
By signing below, each individual or entity becomes obligated under this Note as Borrower.
BORROWER:
Alicia Marshall
By __________
SBA Form 147 (06/03/02) Version 4.1
______________
Date ____________________
Page 6/6
Case 5:21-cv-04337-JMG
Document 139-2
Filed 09/06/24
Page 8 of 14
ADDITIONAL AND CORRECTION DOCUMENTS AGREEMENT
(ERRORS AND OMISSIONS AGREEMENT)
RE:
Loan by Lender, Prestamos CDFI, LLC to
Sole Proprietorship (Unregistered)
Alicia Marshall
, a(n)
, in the amount of $ 7915
.
In consideration of Prestamos CDFI, LLC, located at 1024 E Buckeye RD, Suite 270, Phoenix AZ 85034, (hereinafter called “Lender”) making the above loan, each of the undersigned, jointly and severally, do hereby agree as follows:
1.
In the event the promissory note or any other document or other writing evidencing, securing or pertaining
to the above loan is misplaced or lost or incorrectly reflects the true and correct terms, conditions or provisions of the loan
in the opinion of Lender, each of the undersigned shall execute, acknowledge, initial and deliver to Lender all documents
and other writings that Lender requests which Lender deems necessary to replace or correct any misplaced, lost or incorrect
document or other writing; and
2.
In the event Lender deems it necessary that any additional documents or other writings be executed by any
of the undersigned in connection with or pertaining to the above loan which have not been requested to be executed by the
undersigned on or before the date hereof (or which were requested but not executed for any reason whatsoever), each of
the undersigned shall execute, acknowledge, initial and deliver to Lender all such additional documents or other writings
that Lender may reasonably request in connection with such loan; and
3.
Each of the undersigned further agrees to execute, acknowledge, initial and deliver to Lender all such
documents and writings and pay such additional sums requested by Lender within ten (10) days after Lender requests
same. Any request by Lender shall be deemed given and received on the earlier of (i) the date such request is actually
received by one of the undersigned or (ii) three (3) days after such request is mailed, postage prepaid and addressed to
any of the undersigned at the last known address of the undersigned in accordance with the records of Lender, whichever
date occurs first; and
4.
If any of the undersigned refuses or fails within such ten (10) day period to (i) execute, acknowledge, initial
and deliver any such document or other writing requested by Lender, or (ii) pay any such fees, expenses, costs or interest,
each of the undersigned, jointly and severally, agree to pay to Lender all losses, damages and expenses paid or incurred
by Lender in any manner emanating therefrom or connected therewith, including (but not limited to) reasonable attorney’s
fees, and each of the undersigned further agree that any such failure or refusal shall constitute a default and an Event of
Default under the note and all other writings evidencing, securing or pertaining to said loan; and
5.
Each of the undersigned hereby acknowledges that Lender is relying upon this agreement in making the
above loan and that Lender would not make such loan unless each of the undersigned execute and deliver this agreement;
and each of the undersigned further agree that this agreement (i) shall inure to the benefit of Lender and each subsequent
holder of the note evidencing such loan, and (ii) shall be binding upon each of the undersigned and upon each of the heirs,
personal representatives, successors and assigns of each of the undersigned.
EXECUTED 4/29/2021
BORROWER:
Alicia Marshall
A(n)
,
Sole Proprietorship (Unregistered)
By:
Name: Alicia Marshall
Title: Owner
Case 5:21-cv-04337-JMG
Document 139-2
Filed 09/06/24
Page 9 of 14
BUSINESS PURPOSE STATEMENT
(SBA Paycheck Protection Program)
I, Alicia Marshall
, Owner
of
Alicia Marshall
,
Sole Proprietorship (Unregistered), state as follows:
a(n)
1.
To induce Prestamos CDFI, LLC, 1024 E Buckeye Rd, Suite 270, Phoenix, AZ 85034, to
extend credit to Alicia Marshall
, a(n)
I represent that the proceeds of the loan in the amount of $ 7915
Sole Proprietorship (Unregistered)
,
will
be
used
only for the following purpose(s):
Business related purposes as authorized by the U.S. Small Business Administration Paycheck
Protection Program and as specified in the loan application.
2.
I understand that the above-stated purpose is for business or commercial purposes only
and that you are relying upon these representations in not making Truth-in-Lending disclosures pursuant
to 15 U.S.C. Section 1601, in connection with this loan.
EXECUTED 4/29/2021
(A
Case 5:21-cv-04337-JMG
Document 139-2
Filed 09/06/24
Page 10 of 14
NOTICE - NO ORAL AGREEMENTS
RE:
Loan by Lender, Prestamos CDFI, LLC to Borrower, Alicia Marshall
a(n)
, in the amount of $ 7915
Sole Proprietorship (Unregistered)
,
.
THE WRITTEN LOAN AGREEMENT REPRESENTS THE FINAL AGREEMENT BETWEEN THE
PARTIES AND MAY NOT BE CONTRADICTED BY EVIDENCE OF PRIOR, CONTEMPORANEOUS, OR
SUBSEQUENT ORAL AGREEMENTS OF THE PARTIES.
THERE ARE NO UNWRITTEN ORAL AGREEMENTS BETWEEN THE PARTIES.
“Loan Agreement” means one or more promises, promissory notes, agreements, undertakings,
security agreements, deeds of trust or other documents or commitments, or any combination of those
actions or documents, pursuant to which a financial institution loans or delays repayment of or agrees to
loan or delay repayment of money, goods, or another thing of value or to otherwise extend credit or make
a financial accommodation.
EXECUTED 4/29/2021
LENDER:
PRESTAMOS CDFI, LLC
By:
Name:
Jose Martinez
Title:
President
BORROWER:
Alicia Marshall
Sole Proprietorship (Unregistered)
A(n)
By:
Name:
Alicia Marshall
Title:
Owner
Case 5:21-cv-04337-JMG
Document 139-2
Filed 09/06/24
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Page 11 of 14
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Case 5:21-cv-04337-JMG
Document 139-2
Filed 09/06/24
Page 12 of 14
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Case 5:21-cv-04337-JMG
W-9
Form
(Rev. October 2018)
Department of the Treasury
Internal Revenue Service
Document 139-2
Filed 09/06/24
Page 13 of 14
Request for Taxpayer
Identification Number and Certification
Give Form to the
requester. Do not
send to the IRS.
a Go to www.irs.gov/FormW9 for instructions and the latest information.
1 Name (as shown on your income tax return). Name is required on this line; do not leave this line blank.
Alicia Marshall
2 Business name/disregarded entity name, if different from above
Print or type.
See Specific Instructions on page 3.
Alicia Marshall
4 Exemptions (codes apply only to
certain entities, not individuals; see
instructions on page 3):
3 Check appropriate box for federal tax classification of the person whose name is entered on line 1. Check only one of the
following seven boxes.
X Individual/sole proprietor or
C Corporation
S Corporation
Partnership
Trust/estate
single-member LLC
Exempt payee code (if any)
Limited liability company. Enter the tax classification (C=C corporation, S=S corporation, P=Partnership) a
Note: Check the appropriate box in the line above for the tax classification of the single-member owner. Do not check Exemption from FATCA reporting
LLC if the LLC is classified as a single-member LLC that is disregarded from the owner unless the owner of the LLC is
code (if any)
another LLC that is not disregarded from the owner for U.S. federal tax purposes. Otherwise, a single-member LLC that
is disregarded from the owner should check the appropriate box for the tax classification of its owner.
(Applies to accounts maintained outside the U.S.)
Other (see instructions) a
5 Address (number, street, and apt. or suite no.) See instructions.
Requester’s name an address (optional)
500 6th St Apt 7
6 City, state, and ZIP code
West Sacramento
CA
95605
7 List account number(s) here (optional)
tr
Part
Taxpayer Identification Number (TIN)
Enter your TIN in the appropriate box. The TIN provided must match the name given on line 1 to avoid
backup withholding. For individuals, this is generally your social security number (SSN). However, for a
resident alien, sole proprietor, or disregarded entity, see the instructions for Part I, later. For other
entities, it is your employer identification number (EIN). If you do not have a number, see How to get a
TIN, later.
Note: If the account is in more than one name, see the instructions for line 1. Also see What Name and
Number To Give the Requester for guidelines on whose number to enter.
_
Part II
Socia
ecurity nu ber
or
Emp oyer ide tificatio number
–
Certification
Under penalties of perjury, I certify that:
1. The number shown on this form is my correct taxpayer identification number (or I am waiting for a number to be issued to me); and
2. I am not subject to backup withholding because: (a) I am exempt from backup withholding, or (b) I have not been notified by the Internal Revenue
Service (IRS) that I am subject to backup withholding as a result of a failure to report all interest or dividends, or (c) the IRS has notified me that I am
no longer subject to backup withholding; and
3. I am a U.S. citizen or other U.S. person (defined below); and
4. The FATCA code(s) entered on this form (if any) indicating that I am exempt from FATCA reporting is correct.
p
Certification instructions. You must cross out item 2 above if you have been notified by the IRS that you are currently subject to backup withholding because
you have failed to report all inte est and dividends on your tax return. For real estate transactions, item 2 does not apply. For mortgage interest paid,
acquisition or abandonment of ecured property, cancellation of debt, contributions to an individual retirement arrangement (IRA), and generally, payments
ot e than nterest and d viden s, you are not required to sign the certification, but you must provide your correct TIN. See the instructions for Part II, later.
S gn
H re
Sign ture of
U.S. erson
Date a
General Instructions
Section references are to the Internal Revenue Code unless otherwise
noted.
Future developments. For the latest information about developments
related to Form W-9 and its instructions, such as legislation enacted
after they were published, go to www.irs.gov/FormW9.
Purpose of Form
An individual or entity (Form W-9 requester) who is required to file an
information return with the IRS must obtain your correct taxpayer
identification number (TIN) which may be your social security number
(SSN), individual taxpayer identification number (ITIN), adoption
taxpayer identification number (ATIN), or employer identification number
(EIN), to report on an information return the amount paid to you, or other
amount reportable on an information return. Examples of information
returns include, but are not limited to, the following.
• Form 1099-INT (interest earned or paid)
Cat. No. 10231X
4/29/2021
• Form 1099-DIV (dividends, including those from stocks or mutual
funds)
• Form 1099-MISC (various types of income, prizes, awards, or gross
proceeds)
• Form 1099-B (stock or mutual fund sales and certain other
transactions by brokers)
• Form 1099-S (proceeds from real estate transactions)
• Form 1099-K (merchant card and third party network transactions)
• Form 1098 (home mortgage interest), 1098-E (student loan interest),
1098-T (tuition)
• Form 1099-C (canceled debt)
• Form 1099-A (acquisition or abandonment of secured property)
Use Form W-9 only if you are a U.S. person (including a resident
alien), to provide your correct TIN.
If you do not return Form W-9 to the requester with a TIN, you might
be subject to backup withholding. See What is backup withholding,
later.
Form W-9 (Rev. 10-2018)
Case 5:21-cv-04337-JMG
Document 139-2
Filed 09/06/24
Page 14 of 14
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Evolve Bank & Trust
Alicia MarshallFile and source
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