Sales and Resales of Restricted Securities |
From inside the book
Results 1-3 of 36
Page 391
... intent to hold the securities for investment purposes and not for distribution . This procedure was also helpful in enabling the issuer to establish that the initial issuance was exempt from registration as a trans- action not involving ...
... intent to hold the securities for investment purposes and not for distribution . This procedure was also helpful in enabling the issuer to establish that the initial issuance was exempt from registration as a trans- action not involving ...
Page 392
... intent appearing in the standard form of investment letter . Since the period restricted securities are held prior to resale is viewed as the best evidence of intent , the principal inquiry in the Section 4 ( 1 ) analysis has always ...
... intent appearing in the standard form of investment letter . Since the period restricted securities are held prior to resale is viewed as the best evidence of intent , the principal inquiry in the Section 4 ( 1 ) analysis has always ...
Page 402
... Intent to distribute might exist whether intent . a subsequent sale was public or private . By the terms of the statute the purchaser's intent at the time of the initial transaction , and not the characterization of the subsequent ...
... Intent to distribute might exist whether intent . a subsequent sale was public or private . By the terms of the statute the purchaser's intent at the time of the initial transaction , and not the characterization of the subsequent ...
Common terms and phrases
adopted affiliate aggregate amended amount of securities apply block positioner broker call options Commission's comply controlling person convertible securities Corporation court dealer debtor deemed disclosure effective fact filed Form 8-K held holders institutional investor interpretations intrastate investment involved issuer Item market maker ment NASDAQ no-action letters non-affiliate notification offeree representative offering exemption option outstanding paragraph permit placed debt securities position preliminary offering circular prior private offering private placement privately placed debt proposed public offering purchase pursuant Question Ralston Purina registration statement Regulation reliance requirements of Rule resale of privately resale of restricted resale of securities resell resold respect restricted securities Rule 144 transaction sales of securities secondary market Section 13 Section 4(1 securities acquired Securities Act Release securities issued seller September 19 small businesses solicitation specified staff statutory term tion underwriter view to distribution volume limitation