Beneficial ownership reports
If your company has registered a class of its equity securities under Exchange Act, who acquire more than 5% of outstanding shares of that class, share must file beneficial owner report on Schedule 13D or 13G until their holding down the 5th of. 4492>
Transaction reporting by officers, directors and 10% shareholders
Section 16 of the Exchange Act applies to an SEC reporting company’s directors and officers, as well as shareholders who own more than a class of equity securities registered under the Exchange Act.この取引所法のセクション16は、SEC報告企業の役員、および10％を超える株式を所有する株主に適用されます。
また、セクション16は、会社が「ショートスイング」利益、またはインサイダーが6ヶ月以内に発生する会社の証券の購入と売却から実現する利益を回収するためのメカニズムを確立しています。
Loans to directors and officers
Section 13(k) of the Exchange Act is prohibited from SEC reporting companies to make personal loans to their directors and officers.The Section 16 is prohibited by insiders by any class of company’s securities, whether that class is registered under the Exchange Act. 金融機関や消費者金融業を営む発行者が通常の業務の過程で市場金利で行う融資は、この禁止から除外されています
。