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Notiﬁcation under Regulation
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aggregate amendment amount annual report application appropriate regulatory agency assets association balance sheet beneﬁcial owner beneﬁts brieﬂy broker or dealer certiﬁcate clearing agency Commission consolidated copies deemed deﬁned deﬁnitive director distribution employees equity securities exhibits Federal Reserve System ﬁle ﬁled pursuant ﬁnancial statements ﬁnds ﬁrst ﬁve ﬁxed form of proxy furnished included income information required Instruction issuer Item last ﬁscal material ment municipal securities dealer national securities exchange necessary or appropriate ofﬁce ofﬁcer oﬂicer omitted options otherwise paragraph participant percent period person principal prior proﬁt proposed prospectus protection of investors proxy statement purchase purposes pursuant to Section regis registered securities registrant’s registration statement respect roman type rules and regulations Schedule Schedule 13D Securities Act securities being registered security holders self-regulatory organization signiﬁcant solicitation speciﬁed suant subparagraph subsidiaries tender offer term thereof thereto tion transaction underwriters vote warrants or rights