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" Every person who is directly or indirectly the beneficial owner of more than 10 per centum of any class of any equity security (other than an exempted security) which is registered on a national securities exchange, or who is a director or an officer... "
Insurance Proposals for the District of Columbia: Hearings Before the ... - Página 74
por United States. Congress. House. District of Columbia Committee - 1973 - 100 páginas
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Compilation of Securities Laws Within the Jurisdiction of the Committee on ...

United States, United States. Congress. House. Committee on Interstate and Foreign Commerce - 1978 - 307 páginas
...institutional investment managers exercising investment discretion with respect to the same amount. (g)(l) Any person who is directly or indirectly the beneficial owner of more than 5 per centum of any security of a class described in subsection (d)(l) of this section shall send to...
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Investigation of Korean-American relations: appendixes to the report of the ...

United States. Congress. House. Committee on International Relations. Subcommittee on International Organizations - 1978 - 1523 páginas
...amended (15 USC 78m), is amended by adding at the end thereof the following new subsection : "(()(!) Any person who is directly or indirectly the beneficial owner of more than 5 per centum of any security of a class described in subsection (d)(l) of this section shall send to...
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Securities and Exchange Commission--authorization: Hearings Before the ...

United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Consumer Protection and Finance - 1978 - 190 páginas
...analyzed. This section requires the Commission (1-) to set up a disclosure program of reporting by any person who is directly or indirectly the beneficial owner of more than 5 percent of any class of a security as defined under the section, (2) to develop a centralized non-duplicative...
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Compilation of selected acts within the jurisdiction of the ..., Volumen1

United States - 1979
...interest" means : (1) any director, officer, partner, or employee of a health maintenance organization, any person who is directly or indirectly the beneficial owner of more than 5 per centum of the equity of the organization, any person who is the beneficial owner of a mortgage,...
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Compilation of the Social Security Laws: Including the Social Security Act ...

United States - 2004
...or employee responsible for management or administration of a health maintenance organization, any person who is directly or indirectly the beneficial owner of more than 5 per centum of the equity of the organization, any person who is the beneficial owner of a mortgage,...
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Report of the Securities and Exchange Commission on Beneficial Ownership ...

United States. Securities and Exchange Commission - 1980 - 242 páginas
...Act which, among other things, added Section 13(g) to the Exchange Act. Section 13(g)(l) requires any person who is directly or indirectly the beneficial owner of more than 5 percent of a class of equity securities specified in Section 13(d){l) of the Exchange Act to send...
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Congressional Serial Set

1981
...means: (1) any director, office, partner, or managing employee of a health maintenance organization, any person who is directly or indirectly the beneficial owner of more than 5 per centum of the equity of the organization, any person who is the beneficial owner of a mortgage,...
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Health law

United States - 1981
...interest" means: (1) any director, officer, partner, or employee of a health maintenance organization, any person who is directly or indirectly the beneficial owner of more than 5 per centum of the equity of the organization, any person who is the beneficial owner of a mortgage,...
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Securities Regulation in Japan

Misao Tatsuta - 2018 - 139 páginas
...shares." The Article 188(1) as amended in 1982 redefined the term "a major shareholder" to mean "a person who is directly or indirectly the beneficial owner of more than 10% of the total outstanding shares." Second, SAC is, in addition to the corporation itself and shareholders,...
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Securities Regulation: Liabilities and Remedies

Marc I. Steinberg - 2020 - 1486 páginas
...18114, 4 CCH Fed. Sec. L. Rep. J 26,062 (1981). "Section 16(a) of the Exchange Act provides that every person who is directly or indirectly the beneficial owner of more than 10 percent of any class of equity security (other than an exempted security) registered pursuant to Section...
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