Section 16 of the investment company act
Web13 Apr 2024 · Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940: OMB APPROVAL: ... 1,057 unvested RSUs, and (iii) 543 shares held in the WD-40 Company Profit Sharing / 401(k) Plan. /s/ Phenix Q. Kiamilev, attorney-in-fact for Jeffrey G. Lindeman: 04/14/2024 Web6 Apr 2024 · Section 16 of the Exchange Act applies to an SEC reporting company's directors and officers, as well as shareholders who own more than 10% of a class of the …
Section 16 of the investment company act
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Web3 Jan 2014 · Several courts have found that section 16 (b) derivative claims are not governed by Rule 23.1 and that there is therefore no bar against plaintiffs suing derivatively under section 16 (b) to recover profits obtained by corporate insiders prior to the date on which the plaintiffs obtained their holdings. See Gollust v. Web10 Feb 2024 · Section 16(a) of the Exchange Act requires that directors and officers of a company that has a class of securities registered under Section 12 of the Exchange Act …
Web21 Sep 2024 · Investment Companies: If an entity treated as an investment company under the Act (or a 3(c)(1) or 3(c)(7) company) owns 10% or more of the voting securities of a fund, each of the owners of that entity will be counted as owners of the fund. The reason for this so-called “look through rule” is to prevent fund owners from getting around the 100 … WebCompanies Act 2006, Section 16 is up to date with all changes known to be in force on or before 12 April 2024. There are changes that may be brought into force at a future date. Changes that...
WebSEC Form 4. FORM 4. UNITED STATES SECURITIES AND EXCHANGE COMMISSION. Washington, D.C. 20549. STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP. Filed … WebAny company organized and operated exclusively for religious, educational, benevolent, fraternal, charitable, or reformatory purposes, no part of the net earnings of which inures …
WebApplicability of section 16 of the Exchange Act to section 30(h). § 270.31a-1 Records to be maintained by registered investment companies, certain majority-owned subsidiaries thereof, and other persons having transactions with registered investment companies.
Web30 Mar 2024 · 1. Represents grant of restricted stock units ("RSUs"), which vest into shares of Common Stock on a one-for-one basis. The RSUs vest in three equal installments … unthsc mha degree planWebCompanies Act 2006, Section 16 is up to date with all changes known to be in force on or before 12 April 2024. There are changes that may be brought into force at a future date. … unthsc mha onlineWebSection 36(b) of the Investment Company Act of 1940 (ICA) establishes a fiduciary duty on the part of fund advisers with respect to their receipt of fees, and grants fund shareholders the express right to bring lawsuits in federal court for breaches of this duty. Since section 36(b)’s enactment nearly half a century ago, the fund industry recliner body cushionWebAn Act to reform company law and restate the greater part of the enactments relating to companies; to make other provision relating to companies and other forms of business … unthsc medical schoolWebL. 94–29 substituted “section 80a–16(c) of this title” for “subsection (b) of section 80a–16 ... requiring disclosure by each registered investment company that divests itself of securities in accordance with section 13(c) of the Investment Company Act of 1940 [15 U.S.C. 80a–13(c)] to include divestments of securities in ... unthsc med sciWeb2 days ago · 1. This Form 4 has been filed by The John Rosatti Family Trust dated August 27, 2001, as amended ("The John Rosatti Family Trust"). Mr. Rosatti is the trustee of The … unthsc microsoft officeWeb12 Apr 2024 · (a) to any loan made, any guarantee given or any security provided or any investment made by a banking company, or an insurance company, or a housing finance company in the ordinary course of its business, or a company established with the object of and engaged in the business of financing industrial enterprises, or of providing … unthsc microsoft 360