A Guide to Short-swing Trading and Exemptions |
Contents
Generally 101 | 7 |
Equity Securities 108 | 13 |
Indemnification 111 | 19 |
Copyright | |
3 other sections not shown
Common terms and phrases
abuse of inside American Bar Association approval beneficial ownership beneficiary call option cash CCH Dec class of equity common stock company's convertible security Corp court deemed definition of derivative disclosure discretionary transaction employee benefit plan exempt from reporting exempt from Section exercise or conversion filed form of beneficial holdings and transactions inside information insider trading insider's Internal Revenue Code issuer equity securities issuer's securities held liability merger or consolidation non-employee directors occurred odd-lot dealers officer or director officers and directors pecuniary interest percent beneficial owner person policy-making functions prior purchase and sale purposes of Section pursuant to Section put equivalent position put option reported on Form restricted stock sale and purchase satisfy SEC staff Section 16(b settlor shareholder shares short-swing trading six months statute stock dividend stock split subject to Section tion U.S. Supreme Court underlying equity security underlying securities voting trust