A Practical Guide to Section 16: Reporting and ComplianceWolters Kluwer, 2003 M01 1 - 688 páginas Rely on the expertise of 15 securities professionals for everything you need to know and do under the Section 16 rules. Compliance is easy with this convenient manual to guide you step-by-step through every phase of the Section 16 reporting scheme. In A Practical Guide to Section 16, you'll find detailed answers to such questions as: Must a plan be andquot;tax qualifiedandquot; to take advantage of Rule 16b-3? Is shareholder approval required to exempt plan transactions? What is a non-employee director for purposes of the rules? What is a andquot;discretionary transactionandquot; under the rules? Is it possible to andquot;mix and matchandquot; exemptions? Are any of the pre-1991 Section 16 rules still in effect? How is a beneficial ownership group determined? How are derivative securities treated in acquisitions?A Practical Guide to Section 16 also supplies such helpful materials as: Forms 3, 4, and 5 filled out under more than 25 different scenarios An abundance of examples illustrating the effect of the rules The full text of revised Section 16 and relevant SEC adoptive releases A detailed compliance timetable to assist in planning and meeting deadlines.
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Contenido
Form 3 Filing Requirements Upon Becoming an Officer | 3-2 |
Form 4Reporting Exempt Allocation Under | 3-3 |
Chapter 5 | 3-5 |
Chapter 8 | 3-8 |
Chapter 11 | 3-11 |
Form 4 Reporting Discretionary Transaction Under Rule | 3-23 |
Form 4Simplifying Reporting of Derivative Securities | 3-36 |
Form of Attestation to Electronic Signature | 3-119 |
Power of Attorney | 5-2 |
Chapter 12 | 5-12 |
Chapter 6 | 7-6 |
Chapter 3 | 8-3 |
Chart 1Terms Categorizing Derivative Security Interests | 9-29 |
Chapter 10 | 11-10 |
B Discretionary Transactions | 11-13 |
APPENDICES | 1 |
Chapter 1 | 4-1 |
Transactions Exempt and Not Exempt Under Rule 16b3 | 4-3 |
AN OVERVIEW OF THE RULES UNDER | 4-15 |
Chapter 7 | 7 |
Adopting Release | 33 |
Otras ediciones - Ver todas
A Practical Guide to Section 16: Reporting and Compliance Stanton P. Eigenbrodt Sin vista previa disponible - 2003 |
Términos y frases comunes
2d Cir Adopting Release amendments American Bar Association award beneficial owner beneficial ownership change in beneficial class of securities Column Commission common stock company stock fund Company’s Compliance and Disclosure compliance person Corp Corporation deemed deferred derivative securities Disclosure Interpretations Discretionary Transactions Discussed In Text disposition election electronic filing employee benefit plan equity securities excess benefit plan Exchange Act exempt from Section exempt under Rule exercise price Exhibit Explanation of Response file a Form filer filing requirements fiscal Form 4-Reporting grant insider trading issuer Item merger Non-Employee Director non-exempt officer or director officers and directors open market participant performance shares Power of Attorney pursuant to Rule qualified plan Regulation S-K reported on Form reporting person restricted stock Sarbanes-Oxley Act SEC staff Section 16 reports Section 16 rules September September 11 small acquisitions Statutory Reference subject to Section Tax-Conditioned Plans ten-percent tion transaction codes trust X Corp