Broker Data

Information for Brokers

CUSIP, Share Transfer, & Reverse Split Information

Trading Symbol: MNTR (Mentor Capital, Inc.)

There are few restricted or Rule 144 shares or warrants outstanding. Virtually all shares and warrants are freely tradable and the shares that spring from the warrants are likewise immediately freely trading. These securities were issued under the authority of 11 U.S.C. § 1145 through a January 11, 2000 Chapter 11 reorganization. A SEC “No Comment” letter was issued prior to the Entry of an Order. FINRA reviewed related documentation in detail upon the reinitiation of trading September 2009.

Shares & Warrants Outstanding (June 30, 2017):

Common Shares 22,694,283 CUSIP# 587 183-104
Public Float 22,285,239
Shareholders of Record 11,669
Series D ($1.60) Warrants 6,786,007 CUSIP# 587 183-146
Series H ($7.00) Warrants 689,159

Warrant expiration May 11, 2038 (Subject to prior redemption by the Company)

The Series D warrants are called and maybe reset to a lower price, or partially reset to a lower price at any time they are more than the lesser of 100% or $1.00 per share in-the-money when compared to the most recent previous daily closing Bid price. Upon partial call, the warrants may be exercised within 30 to 180 calendar days depending upon the length of the call period selected and announced by management. If not exercised timely, the warrants may be redeemed by the Company or assigned by the Company to any designee for exercise. Several hundred shareholders have asked to be designees if warrants are to be made available under the Plan. The Company, or designee through the Company, is required to pay the original holder 10 cents per warrant, at some to be determined time in the future after all warrants are exercised. Subject to these prior call provisions, the warrants otherwise expire May 11, 2038, or upon full and complete exercise.

In the case of a reverse split of the shares the warrants specifically do not reverse with the shares per the original 1145 order as reviewed by the SEC.

All shares, warrants, and shares that spring from the warrants issued in the 2000 reorganization are freely tradable under the exemption afforded by 11 U.S.C. § 1145.

 

Transfer Agent:

Action Stock Transfer Corporation

2469 East Fort Union Boulevard, Suite 214
Salt Lake City, UT 84121

Warrant Agent:

MC Transfer

(DTC TA# 23368)
(FINS# 337 329)
6923 Sumac Court
Centerville, MN 55038

Company TA Contact: Dave
TA Phone: (612) 968 – 3299

TA Fee: $25 per certificate produced (payable to MC Transfer)

Name Change and Reverse Split:

April 2008 the Company effected a name change, and 1000 to 1 reverse split on the stock only, not affecting the warrants (per the associated reorganization court order).

Former Name: Main Street AC, Inc.

Former Symbol: MFIT

Former Common CUSIP: 559 903-109 (Exchanges 1000 to 1 with new Common)

Former “A” Warrant CUSIP: 559 903-117 (Exchanges 1 to 1 with new “A” Warrant)

Former “B” Warrant CUSIP: 559 903-125 (Exchanges 1 to 1 with new “B” Warrant)

Former “C” Warrant CUSIP: 559 903-133 (Exchanges 1 to 1 with new “C” Warrant)

Former “D” Warrant CUSIP: 559 903-141 (Exchanges 1 to 1 with new “D” Warrant)

Fractional shares rounded up at the beneficial holder level. Exchange not mandatory.