NEWL Alert: NEWL — Initial OTCQB Certificatio

NEWL Alert: NEWL — Initial OTCQB Certification

Published: Jul 18, 2014 Period End: Jul 18, 2014 Status: Active

Looks Like NEWL is switching to the OTC.................$$$

http://www.otcmarkets.com/financialReportView...;id=123623

https://www.otciq.com/otciq/ajax/showFinancia...?id=123623
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OTCQB Certification
I, Michael S. Zolotas, Chief Executive Officer of NewLead Holdings Ltd. (“the Company”), certify that:
a. The Company is registered with the SEC or exempt from SEC registration as indicated below (check one):
Company is registered under Section 12g of the Exchange Act
Company is relying on Exchange Act Rule 12g3-2(b)
Company is a bank that reports to a Bank Regulator under Section 12(i) of the Exchange Act Company is a bank that is non-SEC reporting but is current in its reporting to a Banking Regulator Other (describe)
b. The Company is current in its reporting obligations as of the most recent fiscal year end and any subsequent quarters, and such information has been posted either on the SEC’s EDGAR system or the OTC Disclosure & News Service, as applicable.
c. The Company Profile displayed on www.otcmarkets.com is current and complete as of July 18, 2014 and includes the total shares outstanding, authorized, and in the public float as of that date.
d. The following is a complete list of attorney(s) and law firm(s) who advised or assisted in the preparation of the Company’s most recent annual report, including in-house counsel: (If no attorney assisted in putting together the disclosure, indicate the person or persons who prepared the disclosure and their relationship to the company.)
Todd E. Mason, Esq., Thompson Hine LLP
e. The following is a complete list of third party providers, including names and addresses, engaged by the Company, its officers, directors or controlling shareholders, during the period from the Company’s prior fiscal year end to the date of this OTCQB Certification, to provide investor relations services, public relations services, or other related services to the Company including promotion of the Company or its securities:
N/A
f. Listed below are the names, legal addresses and % of shares owned by all Officers, Directors and Control Persons (control persons are beneficial owners of more than five percent (5%) of any class of the issuer’s equity securities). If any of the beneficial shareholders are corporate shareholders, the name and address of the person(s) owning or controlling such corporate shareholders and the resident agents of the corporate shareholders must also be included.

Name
Address (City and State only)
% Shares Owned
Shares Beneficially Owned
Identity of Person or Group Number
Percentage
Executive Officers and Directors
Michail S. Zolotas (1)(2)(3)(4)(5) 742,250
Antonios Bertsos 226
*
Spyros Gianniotis
1,105 *
*
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Sae Jung Oh 934
* Panagiotis Skiadas
350
*
Directors and Executive Officers
as a Group (1)(2)(3)(4)(5) 744,865
* * Less than one percent
(1) Includes 593,692 common shares beneficially owned by Focus Maritime Corp., a Marshall Islands corporation. Focus Maritime Corp. is wholly- owned by Michail Zolotas. Focus Maritime Corp.’s business address is 83 Akti Miaouli & Flessa Street, Piraeus Greece 185 38.
121
(2) Includes 3,021 common shares beneficially owned by Grandunion, a Marshall Islands corporation, which is controlled by Michail Zolotas, who owns 50% of the issued and outstanding capital stock of Grandunion. Grandunion’s business address is 83 Akti Miaouli & Flessa Street, Piraeus Greece 185 38. The foregoing information was derived from a Schedule 13D/A filed with the SEC on April 30, 2012.
(3) The voting agreement between Rocket Marine Inc. and Grandunion, pursuant to which Grandunion had voting power over 3,254 common shares beneficially owned by Rocket Marine Inc., expired on February 29, 2012. As a result, these shares of Rocket Marine Inc. are no longer included in the beneficial ownership of Michail Zolotas or Grandunion.
(4) Includes an aggregate of
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20,300, 2,340 and 25,414 common shares beneficially owned by Terra Stabile A.E., Terra Norma S.A. and Aurora Properties Inc., each of which are affiliated with Michail Zolotas. The address for each of Terra Stabile A.E. and Terra Norma A.E. is 115 Acharnon Street, Athens, 104 46, Greece and the address for Aurora Properties Inc. is Ajeltake Road, Ajeltake Island, Majuro, Marshall Islands, MH96960.
(5) Includes 81,988 common shares beneficially owned by Artemis World S.A., a corporation incorporated in the Republic of Panama. Artemis World S.A. is directed by Michail Zolotas. The operating address of Artemis World S.A. is 9, Krevata, Piraeus 185 38 Greece.
Date: July 18, 2014
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Name of Certifying CEO or CFO: Michael S. Zolotas
Title: CEO
Signature:
(Digital Signatures should appear as “/s/ [OFFICER NAME]”)
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