Legal and Regulatory:
Beneficial Ownership Reporting
Insider Reports
"Insider
reports" collect information on the beneficial ownership of equity securities
for (1) any director or officer of an issuer with a class of equity securities
registered pursuant to Section 12 of the Securities Exchange Act of 1934 ('34
Act); (2) any beneficial owner of greater than 10 percent of a class of equity
securities registered under Section 12 of the '34 Act, as determined by voting
or investment control over the securities pursuant to Rule 16a-1(a)(1); and (3)
any trust, trustee, beneficiary, or settler required pursuant to Rule 16a-8.
Insiders
must file a
report before the end of the second business day following the day on
which a transaction resulting in a change in beneficial ownership has been
executed. Forms that are submitted electronically will be made available
immediately, so the public will be able to search for a
report. Forms that have been submitted on paper will continue to be
made available by the OCC’s Communications Division.
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