https://www.hunton.com/. /SEC_Concludes_a_Busy_Week_of_Beneficial_ Ownership_Enforcement.pdfCachedSep 1, 2014 . rules under Section 13(d) and Section 16(a) of the Securities Exchange Act of

https://www.lexology.com/library/detail.aspx?g=11990b04-9b60. CachedJan 16, 2014 . The new guidance alters how issuers will calculate certain investors‟ beneficial

https://www.fdic.gov/regulations/laws/rules/2000-5700.htmlCachedSimilarApr 29, 2016 . This form shall be filed in lieu of SEC Form 3 pursuant to SEC rules for initial

https://iiwisdom.com/alk-2017/securities-ownership/Cached(2) Total beneficial ownership is determined in accordance with the rules of the

investor.apple.com/secfiling.cfm?filingid=1193125-15-17607. CachedSimilar. to file reports of securities ownership and changes in such ownership with the

https://www.thecorporatecounsel.net/sub/proxydetailedtoc.pdfCachedForeign Private Issuer Voluntarily Filing on 10-K Must Comply with All Form

www.klgates.com/files/. /Executive_Compensation_Guidebook_2013.pdfSimilarJun 27, 2012 . The rules also: • changed the disclosure rules regarding related party

investors.skyworksinc.com/secfiling.cfm?filingID=950135-99. Cached(ii) each Director, (iii) each Executive Officer, and (iv) all our Directors and

https://www.finra.org/sites/default/files/. /p442161.pdfCachedSimilarRule and applicable SEC rules regarding a security to the beneficial owner (or

https://www.law.cornell.edu/cfr/text/17/240.13d-3CachedSimilar(i) A person shall be deemed to be the beneficial owner of a security, subject to

wallstreet.cch.com/LCMTools/TOCChapter.asp?. 1. Cached(2) if the proxy-soliciting material has been transmitted to the beneficial owner of

https://financial-dictionary.thefreedictionary.com/Beneficial+ownershipCachedSimilarThe deadlines for filing the reports--which include SEC Forms 3, Initial Statement

https://www.sec.gov/rules/final/2011/34-64628.pdfCachedSimilarJun 8, 2011 . ownership rules to persons who purchase or sell security-based swaps after the

ir.tailoredbrands.com/proxy-statements/. /0000950129-99-002503.pdfCachedJun 2, 1999 . Rule 14a-6(e)(2)). [X] Definitive Proxy Statement. [ ] Definitive Additional

https://www.ifc.org/wps/wcm/connect/62d48198. /Focus-14.pdf?. CachedSimilarBeneficial-ownership rules allow shareholders to monitor related- party

https://investor.oxfordinc.com/. /2b3b4653-efe8-4816-aeaa-b8f7470fba09Cached(Rule 14a-101). INFORMATION REQUIRED IN PROXY STATEMENT.

www.goldmansachs.com/s/proxy. /goldman_sachs-proxy2011_0066.pdffootnote (b) under Beneficial Ownership—Beneficial Owners of More Than Five

https://www.sec.gov/divisions/corpfin/forms/omalinks.shtmlCachedSimilarOct 7, 2014 . Beneficial Ownership Reporting. The links below will take you to an index from

investor.walgreensbootsalliance.com/secfiling.cfm?filingid=1206774. Per unit price or other underlying value of transaction computed pursuant to

ir.utc.com/investors/secfiling.cfm?filingid=950130-99-1737. CachedIf your shares are held in a brokerage account or by a bank or other nominee,

https://www.duanemorris.com/. /SEC_Proxy_Plumbing_release_3745.htmlCachedSimilarJul 28, 2010 . However, holding securities in bulk also makes it difficult for issuers to identify the

www.chanrobles.com/republicactno8799rules.htmSimilarAll securities of the same class beneficially owned by a person, regardless of the

www.faegrebd.com/. /2015%20Proxy/ Proxy%20Statement%20Disclosure%20Controls.pdfCachedSimilarbeneficial ownership within 60 days). d. Percent of class owned. • Personnel

proxy.aircastle.com/secfiling.cfm?filingID=728889-10-246. CachedAggregate Amount Beneficially Owned by Each Reporting Person: 9,323,612 (

https://www.ally.com/files/sections/investor/pdf/2016-AF-Proxy.pdfCachedSimilarMar 23, 2016 . Proxy Statement. 1. Proposal 1 — Election of Directors. 2. Board Leadership

https://en.wikipedia.org/wiki/SEC_filingCachedSimilarAn SEC filing is a financial statement or other formal document submitted to the

www.pli.edu/emktg/toolbox/proxy_statements2.docCachedSimilarExchange Act Rule 14a-16 permits registrants to satisfy their proxy statement

https://www.citrix.com/. /security-ownership-of-certain-beneficial-owners- and-management.pdfCachedSimilarSecurity Ownership of Certain Beneficial Owners and Management. The

https://www.textron.com/assets/Proxy/2017/files/. /page0023.pdfCachedTEXTRON 2017 PROXY STATEMENT. 16. SECURITY OWNERSHIP. The

https://media2.mofo.com/documents/faqs-schedule-13d-g.pdfCachedSimilarto be used for calculating beneficial ownership in the context of derivative

www.goldmansachs.com/. /proxy. /goldman_sachs-proxy2012_0066.pdfCachedThe following table contains certain information, as of March 26, 2012, regarding

https://content.next.westlaw.com/Document/. /FullText.html?. CachedSimilarThis Note discusses what information is contained in the proxy statement,

https://www.sec.gov/divisions/corpfin/. /execcomp403interp.htmCachedSimilarMar 13, 2007 . Item 403 of Regulation S-K — Security Ownership of Certain Beneficial Owners

investor.underarmour.com/secfiling.cfm?filingID=1193125-13. CachedThe following table sets forth certain information known to us regarding the

Reporting by certain institutional investors of beneficial ownership of certain

https://www.federalregister.gov/. /customer-due-diligence-requirements-for- financial-institutionsCachedSimilarMay 11, 2016 . The terms used for the purposes of this final rule, including account, beneficial

www.cii.org/. /02_18_10_obo_nobo_distinction_white_paper.pdfCachedSimilarFeb 18, 2010 . to regulate the distribution of information statements. The SEC was concerned

scholarlycommons.law.case.edu/cgi/viewcontent.cgi?article=4415. SimilarJanet Gamer Feldman and Richard L. Teberg, Beneficial Ownership under

ir.vocaltec.com/secfiling.cfm?filingID=1178913-12-2004&CIK. CachedJul 23, 2012 . The sole purpose of this amendment to the original definitive proxy statement (the

https://www.law.cornell.edu/cfr/text/17/229.403CachedSimilarOf the number of shares shown in column (3), indicate by footnote or otherwise the amount known to be shares with respect to which such listed beneficial owner has the right to acquire beneficial ownership, as specified in Rule 13d-3(d)(1) under the Exchange Act ( § 240.13d-3(d)(1) of this chapter).

https://www.deallawyers.com/. /analysis-corp-fins-new-section-13d-groups- cdi.htmlCachedSimilarJan 10, 2014 . From Skadden's Josh LaGrange & Brian Breheny, here's some analysis of the

https://www.davispolk.com/. /01.28.09.proxy.season.pdfCachedJan 28, 2009 . disclosure rules often requires a detailed fact-based analysis in many cases, we

www.gibsondunn.com/. / SECStaffReleasesAdditionalGuidanceRegardingProxyStatementDiscl. CachedSimilarMar 15, 2007 . . required to be disclosed in proxy statements. The Interpretations also reiterate

https://www.srz.com/. /sec-releases-a-second-installment-of-bad-actor-rule- guidance.htmlCachedSimilarCorpFin continued its application of the Rule 13d-3 definition of beneficial owner

https://iiwisdom.com/. /security-ownership-of-certain-beneficial-owners-and- management/CachedBeneficial ownership is determined in accordance with the rules of the SEC and

www.legalandcompliance.com/. /going-public-securities-lawyer-2/CachedSimilarGoing Public Securities Lawyer. Statutes The Securities Act of 1933 The

finra.complinet.com/en/display/display_main.html?rbid=2403. CachedSuch material shall include a signed proxy indicating the number of shares held

https://www.sec.gov/Archives/edgar/data/1043604/. /filename1.htmCachedSimilarInstruction 2 of Item 403 states only that beneficial ownership shall be determined

https://globeimmune.com/investors/sec-filings/Cached06/05/2015, SC 13G, Statement of acquisition of beneficial ownership by

https://www.sec.gov/Archives/edgar/data/. /d459144dex991.htmCachedSimilarUnder the rules of the SEC, a person is deemed to be a “beneficial owner” of a

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