A Practical Guide to Section 16: Reporting and Compliance

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Aspen Publishers Online, 2003 - Business & Economics - 688 pages
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Rely on the expertise of 15 securities professionals for everything you need to know and do under the Section 16 rules. Compliance is easy with this convenient manual to guide you step-by-step through every phase of the Section 16 reporting scheme.

In A Practical Guide to Section 16, you'll find detailed answers to such questions as:

  • Must a plan be andquot;tax qualifiedandquot; to take advantage of Rule 16b-3?
  • Is shareholder approval required to exempt plan transactions?
  • What is a non-employee director for purposes of the rules?
  • What is a andquot;discretionary transactionandquot; under the rules?
  • Is it possible to andquot;mix and matchandquot; exemptions?
  • Are any of the pre-1991 Section 16 rules still in effect?
  • How is a beneficial ownership group determined?
  • How are derivative securities treated in acquisitions?

A Practical Guide to Section 16 also supplies such helpful materials as:

  • Forms 3, 4, and 5 filled out under more than 25 different scenarios
  • An abundance of examples illustrating the effect of the rules
  • The full text of revised Section 16 and relevant SEC adoptive releases
  • A detailed compliance timetable to assist in planning and meeting deadlines.

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