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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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Budget Reconciliation Recommendations of the Committee on Finance ..., Volumen4

United States. Congress. Senate. Committee on Finance - 1997 - 488 páginas
...partner, or employee responsible for management or administration of a Medicare Choice organization, any person who is directly or indirectly the beneficial owner of more than 5 percent of the equity of the organization, any person who is the beneficial owner of a mortgage,...
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Compilation of Securities Laws Within the Jurisdiction of the ..., Volumen4

United States - 1997 - 776 páginas
...institutional investment managers exercising investment discretion with respect to the same amount. (g)(1) 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)(1) of this section shall send to...
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Moral Theory and Legal Reasoning

Scott Brewer - 1998 - 404 páginas
...numerous known and unknown particulars under headings such as "vehicles," "punishment," "dogs," and "every person who is directly or indirectly the beneficial owner of more than 10 per centum of any class of any [registered] equity security fother than an exempted securityl." After identifying...
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Managed Care and Public Health

Paul K. Halverson, Arnold D. Kaluzny, Curtis P. McLaughlin, Glen P. Mays - 1998 - 504 páginas
...director, officer, partner or employee responsible for management or administration of an HMO and HIO; any person who is directly or indirectly the beneficial owner of more than 5% of the equity of the HMO; any person who is the beneficial owner of more than 5% of the HIO; or,...
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Official Gazette, Volumen97,Tema 1

Philippines - 2001 - 286 páginas
...reconciled. SEC. 23. Transactions of Directors. Officers and Principal Stockholders. - 23.1. Every person who is directly or indirectly the beneficial owner of more than tender centum (10%) of any class of any equity security which satisfies the requirements of Subsection...
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Lessons Learned from Enron's Collapse: Auditing the Accounting Industry ...

United States. Congress. House. Committee on Energy and Commerce - 2002 - 224 páginas
...assumptions underlying such slalemem MA . tD. UIKKCTORS, OFFICERS, AND PRINCIPAL STOCKHOLDERS (a) Every person who is directly or indirectly the beneficial owner of more than 1 0 per centum of any class of any equity security (other than an exempted security) which is registered...
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Public Companies

Jonathan M. Hoff, Lawrence A. Larose, Frank J. Scaturro - 2002 - 706 páginas
...obligations and profit disgorgement liability on officers and directors of a company, and on any stockholder who is, directly or indirectly, the beneficial owner of more than 10% of any class of equity security1 registered under the Exchange Act.2 These persons are deemed "insiders"...
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Compilation of Securities Laws Within the Jurisdiction of the Committee on ...

United States - 2003 - 962 páginas
...DISCLOSURES REQUIRED. — (1) DIRECTORS, OFFICERS, AND PRINCIPAL STOCKHOLDERS REQUIRED TO FILE. — Every person who is directly or indirectly the beneficial owner of more than 10 percent of any class of any equity security (other than an exempted security) which is Sec. 16 SECURITIES...
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Asset Management and Investor Protection: An International Analysis

Julian Franks, Colin Mayer, Luis Correia da Silva - 2003 - 310 páginas
...greater in value than 5 per centum of the value of the total assets of such management company and to not more than 10 per centum of the outstanding voting securities of such issuer. Investment advice may be offered to investment companies internally and externally. Internal...
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A Practical Guide to Section 16: Reporting and Compliance

Stanton P. Eigenbrodt - 2003 - 761 páginas
...reporting and short-swing profit recovery provisions of section 16 of the Exchange Act apply to every person who is directly or indirectly the beneficial owner of more than ten percent of any class of equity securities that is registered pursuant to section 12 of the Exchange...
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