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Section 16(B)—If at First You Don’t Succeed…

    By Phillip Goldstein · Mar 01, 2017 · 6 mins to read

Who are your Section 16 officers? Williams Mullen

    Sep 25, 2013 · For the most part, determining your Section 16 officers is a fairly routine matter, and the SEC respects and rarely challenges these determinations due to their fact-sensitive nature. The SEC recently made such a challenge, however, and lost in a federal court case involving a company’s conclusions regarding its own officers. The SEC similarly defines an “officer” in Rule 16a-1 (f) and an …Estimated Reading Time: 6 mins

Section 16(b) Officer Definition Law Insider

    Section 16 (b) Officer. definition. Section 16 (b) Officer means an officer of the Company who is subject to the short-swing profit recapture rules of section 16 (b) of the 1934 Act.

SEC.gov Exchange Act Section 16 and Related Rules and Forms

    Oct 12, 2017 · Rule 16b-3 will not exempt a transaction between the issuer and (1) an officer's charitable remainder trust, or (2) an investment advisor of which a director is a principal. However, in its interpretive letter to American Bar Association (Feb. 10, 1999), Q. 4, the Division staff has stated that Rule 16b-3 is available to exempt an officer's or director's indirect pecuniary interest in certain …

REGULATORY Section 16b-Insider Trading Rules

    executive officer has two days to file the Form 4. If, however, the 10b5-1 Trading Plan instructs the broker to sell 10,000 shares on the first day of every month, it is not a transaction that meets the exception because the executive officer has selected the date of execution. In this case, the transaction is subject to the two-day reporting rule.

Section 16 Definition

    Section 16 is a section of the Securities Exchange Act of 1934 that describes the regulatory filing responsibilities of directors, officers, and principal stockholders.

A primer on Section 16 officers - Lexology

    Apr 18, 2013 · The definition of Section 16 officer is designed to apply narrowly to the small subset of executives in the company who have significant policy-making …Estimated Reading Time: 8 mins

Words Of Wisdom

    Jan 01, 2017 · A Primer on Section 16 Officers. Your old college buddy Sam Baker has just been appointed CFO of Dixie Candles, Inc. While telling Sam about her promotion, Dixie’s CEO mentioned in passing that of course Sam was now a “Section 16 officer” given that the CFO serves as both principal financial officer and principal accounting officer for the company. In her excitement, Sam forgot to ask exactly what was a Section 16 officer, …

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