Sales and Resales of Restricted Securities |
From inside the book
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Page 236
... securities being sold . Illustration : FACTS : On April 1 , 1977 , X acquired On 5,000 shares of restricted securities of Y company . December 1 , 1977 , X acquired an additional 5,000 shares of restricted securities of Y. On May 1 ...
... securities being sold . Illustration : FACTS : On April 1 , 1977 , X acquired On 5,000 shares of restricted securities of Y company . December 1 , 1977 , X acquired an additional 5,000 shares of restricted securities of Y. On May 1 ...
Page 378
... restricted securities ' and securities held by af- filiates . Rule 148 similarly provides a safe harbor for the resale of securities acquired in bankruptcy proceedings . In Release No. 33-5979 ( September 19 , 1978 ) [ 43 FR 43709 ] the ...
... restricted securities ' and securities held by af- filiates . Rule 148 similarly provides a safe harbor for the resale of securities acquired in bankruptcy proceedings . In Release No. 33-5979 ( September 19 , 1978 ) [ 43 FR 43709 ] the ...
Page 571
... securities were not purchased with a view to distribution . It may also be of interest that although this writer ... restricted securities remain considerably less negotiable than non - restricted securities . For example : Utilizing ...
... securities were not purchased with a view to distribution . It may also be of interest that although this writer ... restricted securities remain considerably less negotiable than non - restricted securities . For example : Utilizing ...
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