Sales and Resales of Restricted Securities |
From inside the book
Results 1-3 of 32
Page 293
... option rather than both at the time of writing and at the time of exercise of the option . 32 / 32 / The Division of Corporation Finance previously expressed the view that the writing of a call option should be con- sidered as an offer ...
... option rather than both at the time of writing and at the time of exercise of the option . 32 / 32 / The Division of Corporation Finance previously expressed the view that the writing of a call option should be con- sidered as an offer ...
Page 294
... option was written . ( a ) If the non - affiliate does not use restricted securi- ties for purposes of covering 33 / the option position or for purposes of meeting his margin obligations 34 / ( i.e. , by placing the restricted ...
... option was written . ( a ) If the non - affiliate does not use restricted securi- ties for purposes of covering 33 / the option position or for purposes of meeting his margin obligations 34 / ( i.e. , by placing the restricted ...
Page 297
... option must be aggre- gated at the time the option is written 36 / with ( i ) the amount of securities of the same issuer sold by the writer 36 / Because any securities that the affiliate may deliver upon exercise of those options are ...
... option must be aggre- gated at the time the option is written 36 / with ( i ) the amount of securities of the same issuer sold by the writer 36 / Because any securities that the affiliate may deliver upon exercise of those options are ...
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