| House & Home - 1999 - 348 pages
...in question, any other Person controlling, controlled by or under common control with such Person. "Control" (including the terms "controlling," "controlled...direct or indirect, of the power to direct or cause the direction of the management and policies of aTerson, whether through the ownership of voting securities,... | |
| James P. Hawley, Andrew T. Williams - Business & Economics - 2000 - 268 pages
...current definition is overly broad and inherently vague.35 Securities Act Rule 405 defines control as the "possession, direct or indirect, of the power...a person, whether through the ownership of voting securities ... or otherwise." This means the potential to influence control is sufficient to be considered... | |
| Jonathan M. Hoff, Lawrence A. Larose, Frank J. Scaturro - Business & Economics - 2002 - 706 pages
...controlled by, or is under common control with, the person specified."31 The term "control" is defined as "the possession, direct or indirect, of the power...a person, whether through the ownership of voting securities, by contract, or otherwise."32 An affiliate's executive officer, director (when employed... | |
| Gabriele Klein - Business & Economics - 2013 - 292 pages
...des Securities Exchange Act von 1934 übertragen.74 SEC Rule 405 definiert den Begriff contra! als „the possession, direct or indirect, of the power...of a person whether through the ownership of voting securities, contract, or otherwise". Es wird deutlich, dass der Begriff der control relativ weit auszulegen... | |
| Robert H. Rosenblum - Mutual funds - 2003 - 980 pages
..."control" (and various derivations of that term), for certain purposes under the 1933 Act, to mean "the possession, direct or indirect, of the power...a person, whether through the ownership of voting securities, by contract, or otherwise." • Third, "[a] natural person shall be presumed not to be... | |
| Douglas L. Hammer - Business & Economics - 2005 - 398 pages
...intermediaries, controls, or is controlled by, or is under common control with, an issuer.63 "Control" means "the possession, direct or indirect, of the...a person, whether through the ownership of voting securities, by contract, or otherwise."64 Percentage ownership does not determine control, but 57.... | |
| Andrea Lohse - Corporate governance - 2005 - 580 pages
...controlled by, or is under common control with, the person specified." Dabei wird control verstanden als „the possession, direct or indirect, of the power...a person, whether through the ownership of voting securities, by contract, or otherwise." Zu diesem Personenkreis zählen insbesondere „executive officers,... | |
| Frederick D. Lipman, L.Keith Lipman - Business & Economics - 2006 - 288 pages
...term "control" consistent with other definitions of this term under the Securities Exchange Act as "the possession, direct or indirect, of the power...a person, whether through the ownership of voting securities, by contract or otherwise."6 The determination of whether a person falls within the category... | |
| |