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Section 16 (b) Officer means a person who is an officer of the Company within the meaning of Section 16 (b) of the Exchange Act and the rules and regulations promulgated thereunder. Sample 1 …
Mar 01, 2017 · If an officer, a director or a large (10% or more) shareholder of a public corporation realizes a profit from buying and selling stock within a six-month period, Section 16 (b) of the Securities Exchange Act of 1934 (the “Act”) authorizes the corporation to recover from such statutory insider any so-called “short swing” profits.Estimated Reading Time: 6 mins
Sep 25, 2013 · For the most part, determining your Section 16 officers is a fairly routine matter, and the SEC respects and rarely challenges these determinations due to their fact-sensitive nature. The SEC recently made such a challenge, however, and lost in a federal court case involving a company’s conclusions regarding its own officers.Estimated Reading Time: 6 mins
Section 16 is a rule within the Securities Exchange Act of 1934 (SEA) that articulates the regulatory filing responsibilities that directors, officers, and principal stockholders are legally...
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Oct 12, 2017 · A person is subject to Section 16 solely by being a member of a group, as described in Section 13 (d) (3) and Rule 13d-5 (b) thereunder, that beneficially owns more than 10 percent of such a class of equity security.
Jul 28, 2017 · The court found that Section 16B.69 is a public welfare statute, therefore warranting application of both strict liability and the " responsible corporate officer doctrine." Public welfare statutes are those that regulate conduct that is "potentially harmful or injurious" to human health and safety.
executive officer has two days to file the Form 4. If, however, the 10b5-1 Trading Plan instructs the broker to sell 10,000 shares on the first day of every month, it is not a transaction that meets the exception because the executive officer has selected the date of execution. In this case, the transaction is subject to the two-day reporting rule.
Apr 18, 2013 · Decisions regarding who is a Section 16 officer are generally made each year by the company’s Board of Directors, usually with input from management and company counsel. The SEC Staff has stated...
Aug 18, 2005 · Under Section 16 (b) if an officer, director or 10% shareholder of a public company buys and sells, or sells and buys, securities of that company within a six-month period, the company may generally recover profits from the "matching" trades that occurred within the …
Jul 23, 2020 · Jul 23, 2020 · Similarly, a corporate officer may not acquire for himself an opportunity which is available to his corporation even though it cannot be demonstrated that the corporation has been damaged by the acquisition. And this is true even where the corporation has not had the financial resources to avail itself of the opportunity. ... Rule 16b-5 exempts ...
a corporate officer, an agent for service process, a general manager, or any individual or entity authorized to receive service of process can be served using this method. The process server must also sign a “proof of personal service” form showing when your employer was served. Commercial process servers will charge a fee. You can also ask
Feb 27, 2003 · Feb 27, 2003 · The Rule 16b-3 Exemption. Rule 16b-3 exempts from short-swing liability most transactions between an issuer, including an employee benefit plan  sponsored by an issuer, and an officer of director. However, the exemption does not cover 10% beneficial owners unless they are an officer or director.
Aug 09, 2017 · Aug 09, 2017 · Current Rule 16b-3 requires that the grant of an equity security will only be exempt if the security is held by the officer or director for six months from the date of grant, or in the case of a derivative security, e.g., a stock option, six months …
Line 16b. Gross Income From All Sources (Code B) Line 16c. Gross Income Sourced at Partner Level (Code C) Lines 16e–16h. Foreign Gross Income Sourced at Partnership Level . Line 16e. Foreign branch category (code E). Line 16f. Passive category (code F). Line 16g. General category (code G). Line 16h. Other (code H). Lines 16i–16j.
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