Exempted Transactions Under the Securities Act of 1933, Volumes 1-5; Volume 7, Parts 1-4C. Boardman Company, 1979 - Securities |
From inside the book
Results 1-3 of 65
Page 2-120
... qualify as a recapitalization within the meaning of Rule 144 ( d ) ( 3 ) ( i ) , the staff stated that “ it would not so qualify , in light of the fact that less than 40 percent of the preferred shares were in- volved in the exchange ...
... qualify as a recapitalization within the meaning of Rule 144 ( d ) ( 3 ) ( i ) , the staff stated that “ it would not so qualify , in light of the fact that less than 40 percent of the preferred shares were in- volved in the exchange ...
Page 3-215
... qualify . What is unclear , however , is the significance , if any , to be attached to the fact that the transferor ... qualifies as an offeree ? The issue here relates both to cate- gories of persons - e.g . , stockholders , creditors ...
... qualify . What is unclear , however , is the significance , if any , to be attached to the fact that the transferor ... qualifies as an offeree ? The issue here relates both to cate- gories of persons - e.g . , stockholders , creditors ...
Page 4-71
... qualify under more restrictive rule 147 may be helpful in showing that an- other issuer qualifies for the 3 ( a ) ( 11 ) exemption , the rulings in which issuers are denied rule 147 status have less significance in terms of the scope of ...
... qualify under more restrictive rule 147 may be helpful in showing that an- other issuer qualifies for the 3 ( a ) ( 11 ) exemption , the rulings in which issuers are denied rule 147 status have less significance in terms of the scope of ...
Contents
Rule 144d3 10277 | lxxii |
Chapter | lxxxi |
Interest 6175 | lxxxv |
Copyright | |
135 other sections not shown
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Common terms and phrases
acquired Act Release Action Letter affiliate amendment apply approval assets bank Bankruptcy Code broker-dealer cash claims Commission common stock convertible debentures convertible securities Corp corporation counsel court creditors curities debentures debt debtor deemed disclosure distribution entity Exchange Act exchange offer exemption under Section federal filed hearing infra interest interpretation intrastate offering investment investors involved issuance issuer limited partnership ment merger nonaffiliate notes offer and sale offer or sale offerees outstanding Pacwest paragraph partners payment percent person preferred stock prior purchase purposes pursuant to Section recapitalization registration requirements registration statement Regulation reorganization residents restricted securities sales of securities SEC No-Action Letter SEC staff Section 4(1 Securities Act securities issued security holders sell Sept settlement shareholders shares Softimage sold solicitation staff agreed statute stockholders subparagraph supra tion transaction Transfer Binder underwriter unregistered securities voting trust