Exempted Transactions Under the Securities Act of 1933, Volumes 1-5; Volume 7, Parts 1-4C. Boardman Company, 1979 - Securities |
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Page 10-164
... percent of outstanding securities , but total number freely resalable was only 4.6 percent of average weekly volume , average number of shares held by each participant was only 2.32 percent of average weekly volume , and the largest ...
... percent of outstanding securities , but total number freely resalable was only 4.6 percent of average weekly volume , average number of shares held by each participant was only 2.32 percent of average weekly volume , and the largest ...
Page 10-364
... percent convertible subordinated debentures , due July 1 , 1987 ( 5 1/4 percent Debentures ) in connection with the acquisition of a business . The indenture under which the 5 1/4 percent Debentures were issued place a limit on the ...
... percent convertible subordinated debentures , due July 1 , 1987 ( 5 1/4 percent Debentures ) in connection with the acquisition of a business . The indenture under which the 5 1/4 percent Debentures were issued place a limit on the ...
Page 10-365
... percent Debentures by long positions in 5 1/4 percent A Debentures and vice versa.30 The one percent test of Rule 144 ( e ) ( 1 ) is based upon the number of securities in the same class that are outstanding . The SEC staff has ...
... percent Debentures by long positions in 5 1/4 percent A Debentures and vice versa.30 The one percent test of Rule 144 ( e ) ( 1 ) is based upon the number of securities in the same class that are outstanding . The SEC staff has ...
Contents
CHAPTER | 9-1 |
iii Special Statutory Categories 918 | 9-18 |
Chapter 2 | 9-22 |
Copyright | |
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Common terms and phrases
Act Release Action Letter affiliate aggregate agreement amended amount of securities apply beneficiary broker broker-dealer call options certificates collateral Commission common stock control person convertible securities Corp corporation court curities dealer debentures deemed determining distribution employees entity Exchange Act exemption fiche filing frame B1 Gilligan holding period holding period requirement infra interest interpretation investment investors issuer July letter from SEC ment Microfiche CCH nonaffiliate option outstanding paragraph participation partnership percent pledge prior Proposed Rule public offering purchase purposes of Rule pursuant to Rule Ralston Purina registration statement Release Number requirements of Rule resales resell restricted securities sale of securities SEC No-Action Letter SEC staff Section 4(1 securities acquired securities sold Sept Serv settlor shareholders subparagraph subsidiary Supp supra tacking tion trading transaction Transfer Binder transferor trust volume limitation voting trust Wash