Source: https://www.law.cornell.edu/cfr/text/17/229.1008
Timestamp: 2016-07-26 05:04:17
Document Index: 768487153

Matched Legal Cases: ['art 229', 'art 229', '§ 229', '§ 240', '§ 240', '§ 240', '§ 240', '§ 240']

17 CFR 229.1008 - (Item 1008) Interest in securities of the subject company. | US Law | LII / Legal Information Institute
CFR › Title 17 › Chapter II › Part 229 › Subpart 229.1000 › Section 229.1008 17 CFR 229.1008 - (Item 1008) Interest in securities of the subject company.
Securities ownership. State the aggregate number and percentage of subject securities that are beneficially owned by each person named in response to Item 1003 of Regulation M-A (§ 229.1003) and by each associate and majority-owned subsidiary of those persons. Give the name and address of any associate or subsidiary.
Instructions to Item 1008(a). 1. For purposes of this section, beneficial ownership is determined in accordance with Rule 13d-3 (§ 240.13d-3 of this chapter) under the Exchange Act. Identify the shares that the person has a right to acquire.
2. The information required by this section may be based on the number of outstanding securities disclosed in the subject company's most recently available filing with the Commission, unless the filing person has more current information.
3. The information required by this section with respect to officers, directors and associates of the subject company must be given to the extent known after making reasonable inquiry.
Securities transactions. Describe any transaction in the subject securities during the past 60 days. The description of transactions required must include, but not necessarily be limited to:
(1) The identity of the persons specified in the Instruction to this section who effected the transaction;
(3) The amount of securities involved;
(4) The price per share; and
(5) Where and how the transaction was effected. Instructions to Item 1008(b). 1. Provide the required transaction information for the following persons:
(a) The filing person (for all schedules);
(b) Any person named in Instruction C of the schedule and any associate or majority-owned subsidiary of the issuer or filing person (for all schedules except Schedule 14D-9 (§ 240.14d-101 of this chapter));
(c) Any executive officer, director, affiliate or subsidiary of the filing person (for Schedule 14D-9 (§ 240.14d-101 of this chapter);
(d) The issuer and any executive officer or director of any subsidiary of the issuer or filing person (for an issuer tender offer on Schedule TO (§ 240.14d-100 of this chapter)); and
(e) The issuer and any pension, profit-sharing or similar plan of the issuer or affiliate filing the schedule (for a going-private transaction on Schedule 13E-3 (§ 240.13e-100 of this chapter)).
2. Provide the information required by this Item if it is available to the filing person at the time the statement is initially filed with the Commission. If the information is not initially available, it must be obtained and filed with the Commission promptly, but in no event later than three business days after the date of the initial filing, and if material, disclosed in a manner reasonably designed to inform security holders. The procedure specified by this instruction is provided to maintain the confidentiality of information in order to avoid possible misuse of inside information.