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 75
Page 2-102
... recapitalization of securities of such corporation or other person , other than a stock split , reverse stock split , or change in par value , which involves the substitution of a security for another security . " 1 Unless exempted ...
... recapitalization of securities of such corporation or other person , other than a stock split , reverse stock split , or change in par value , which involves the substitution of a security for another security . " 1 Unless exempted ...
Page 2-118
... recapitalization " and , there- fore , that the two - year holding period for the common stock started when they acquired the old debentures . Such a literal reading was risky , however , since the staff occasionally took the position ...
... recapitalization " and , there- fore , that the two - year holding period for the common stock started when they acquired the old debentures . Such a literal reading was risky , however , since the staff occasionally took the position ...
Page 2-119
J. William Hicks. peared to require a recapitalization that had either been approved by a vote of security holders or was tantamount to a recapitalization pursuant to such a vote . As a result , the holding period for the twenty ...
J. William Hicks. peared to require a recapitalization that had either been approved by a vote of security holders or was tantamount to a recapitalization pursuant to such a vote . As a result , the holding period for the twenty ...
Contents
Rule 144d3 10277 | lxxii |
Chapter | lxxxi |
Interest 6175 | lxxxv |
Copyright | |
135 other sections not shown
Other editions - View all
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