Sales and Resales of Restricted Securities |
From inside the book
Results 1-3 of 71
Page 321
... received securities or would be somehow participating in a distribution of those on behalf of Sequential . There were also a number of trade cred- itors who received shares of Sequential stock under its Plan . The Staff was not asked to ...
... received securities or would be somehow participating in a distribution of those on behalf of Sequential . There were also a number of trade cred- itors who received shares of Sequential stock under its Plan . The Staff was not asked to ...
Page 384
... received in exchange for such a claim or interest ; ( B ) offers to sell securities offered or sold under the plan ... receiving such fractional interests under the plan ; or ( B ) the purchase or sale for such entities of such ...
... received in exchange for such a claim or interest ; ( B ) offers to sell securities offered or sold under the plan ... receiving such fractional interests under the plan ; or ( B ) the purchase or sale for such entities of such ...
Page 574
... Receiving Your Issues Of The Corporate Counsel On Time ? We have recently received inquiries from some of our subscribers concerned that they may have missed an issue . In general , our issues are printed and mailed during the last week ...
... Receiving Your Issues Of The Corporate Counsel On Time ? We have recently received inquiries from some of our subscribers concerned that they may have missed an issue . In general , our issues are printed and mailed during the last week ...
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