 | Boston Institute of Finance - 2005 - 370 lapas
...securities are being sold to the public. For the purposes of SEC Rule 144, an affiliate of an issuer is a person that directly or indirectly, through one...intermediaries, controls or is controlled by, or is under common control with such issuer. The term person, when used in reference to a person for whose... | |
 | Douglas L. Hammer - 2005 - 398 lapas
...(whether or not they are also Restricted Securities). Rule 144(a) defines an "affiliate" of an issuer as a person that directly, or indirectly through one...intermediaries, controls, or is controlled by, or is under common control with, an issuer.63 "Control" means "the possession, direct or indirect, of the... | |
 | Mervin Evans - 2006 - 1149 lapas
...investors. (b) Affiliate. An "affiliate" of, or person "affiliated" with, a specified person shall mean a person that directly, or indirectly through one...is under common control with, the person specified. (c) Aggregate offering price. "Aggregate offering price" shall mean the sum of all cash, services,... | |
 | Frederick D. Lipman, L.Keith Lipman - 2006 - 290 lapas
...a member of the board and any board committee.4 An affiliated person is defined by the SEC to mean "a person that directly, or indirectly through one...controlled by, or is under common control with, the person specified."5 The SEC defines the term "control" consistent with other definitions of this term under... | |
 | 1968 - 516 lapas
...1998, as amended, Title II, Division C, of Public Law 105-277; (c) Affiliate or Affiliated refers to a Person that directly or indirectly through one or...intermediaries, controls, or is controlled by, or is under common control with, the first Person. For the purposes of this definition the term "control"... | |
 | Susan L. Preston - 2011 - 463 lapas
...investors. (b) Affiliate. An "affiliate" of, or person "affiliated" with, a specified person shall mean a person that directly, or indirectly through one...is under common control with, the person specified. (c) Aggregate off ering price. "Aggregate offering price" shall mean the sum of all cash, services,... | |
 | Harding de C. Williams - 2006 - 382 lapas
...11. SEC, Notices [SRO Rule Approvals], 68 FR64154 (Nov. 12,2003). 12. 17 CFR § 240.10A-(3)(e)(8). as "a person that directly, or indirectly through one...controlled by, or is under common control with, the person specified."13 (emphasis in original) SEC regulations provide that affiliates also include: • an executive... | |
 | American Bar Association. Section of Business Law. Committee on Corporate Counsel - 2007 - 440 lapas
...meeting of stockholders, and agree to serve if elected. DATED: Nonemployee Director APPENDIX DEFINITIONS Affiliate. An "affiliate" of, or a person "affiliated"...is under common control with, the person specified. Associate. • any corporation or organization, other than the Company or a majority-owned Company... | |
 | Bruce F. Dravis - 2007 - 206 lapas
..."affiliated person" of the corporation or its subsidiaries.4 Under SEC's rules an "affiliate" of a company is "a person that directly, or indirectly through...intermediaries, controls, or is controlled by, or is under common control with, the company."5 Whether a director is deemed to "control" an issuer will... | |
 | 1968 - 776 lapas
...sections 12, 13 or 15 (d) of the act, shall have the respective meanings indicated in this rule: (a) Affiliate. An "affiliate" of, or a person "affiliated"...Is under common control with, the person specified. (b) Amount. The term "amount," when used in regard to securities, means the principal amount if relating... | |
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affiliate" of, or a person "affiliated" with, a specified person, is a person that directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with, the person specified. 
