Notice of Dissolution of Group. Notice of dissolution of a group may be furnished as an exhibit stating the date of the dissolution and that all further filings with respect to transactions in the security reported on will be filed, if required, by members of the group, in their individual capacity. See Item 5. By signing below I certify that, to the best of my knowledge and belief, the foreign regulatory scheme applicable to [insert particular category of institutional investor] is substantially comparable to the regulatory scheme applicable to the functionally equivalent U.
I also undertake to furnish to the Commission staff, upon request, information that would otherwise be disclosed in a Schedule 13D. After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. The original statement shall be signed by each person on whose behalf the statement is filed or his authorized representative. If the statement is signed on behalf of a person by his authorized representative other than an executive officer or general partner of the filing person, evidence of the representative's authority to sign on behalf of such person shall be filed with the statement, Provided, however, That a power of attorney for this purpose which is already on file with the Commission may be incorporated by reference.
The name and any title of each person who signs the statement shall be typed or printed beneath his signature. Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits.
See Rule 13d-7 for other parties for whom copies are to be sent. Attention: Intentional misstatements or omissions of fact constitute Federal criminal violations see 18 U. Please help us improve our site! No thank you. Watch our video on this type of brokerage account to determine whether a margin account is a good fit for you.
Please enter some keywords to search. Breadcrumb Home Introduction to Investing Glossary. Schedules 13D and 13G. If the reporting person disclaims membership in a group or describes a relationship with other person but does not affirm the existence of a group, please check row 2 b [unless it is a joint filing pursuant to Rule 13d-1 k 1 in which case it may not be necessary to check row 2 b ]. Otherwise, furnish place of organization. All percentages are to be rounded off to the nearest tenth one place after decimal point.
Attach as many copies of the second part of the cover page as are needed, one reporting person per page. Filing persons may, in order to avoid unnecessary duplication, answer items on the schedules Schedule 13D, 13G or TO by appropriate cross references to an item or items on the cover page s.
This approach may only be used where the cover page item or items provide all the disclosure required by the schedule item. Reporting persons may comply with their cover page filing requirements by filing either completed copies of the blank forms available from the Commission, printed or typed facsimiles, or computer printed facsimiles, provided the documents filed have identical formats to the forms prescribed in the Commission's regulations and meet existing Securities Exchange Act rules as to such matters as clarity and size Securities Exchange Act Rule 12b Under Sections 13 d , 13 g and 23 of the Securities Exchange Act of and the rules and regulations thereunder, the Commission is authorized to solicit the information required to be supplied by this schedule by certain security holders of certain issuers.
Disclosure of the information specified in this schedule is mandatory. The information will be used for the primary purpose of determining and disclosing the holdings of certain beneficial owners of certain equity securities. This statement will be made a matter of public record. Therefore, any information given will be available for inspection by any member of the public. Because of the public nature of the information, the Commission can use it for a variety of purposes, including referral to other governmental authorities or securities self-regulatory organizations for investigatory purposes or in connection with litigation involving the Federal securities laws or other civil, criminal or regulatory statutes or provisions.
Failure to disclose the information requested by this schedule may result in civil or criminal action against the persons involved for violation of the Federal securities laws and rules promulgated thereunder. Item 3. Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.
Item 5. Ownership of Five Percent or Less of a Class. Get Started! The due date for filing for the beneficial ownership statement depends on the category of the initial Schedule 13G filer: Passive Investor 13d-1 c Within 10 days of the acquisition of more than 5 percent but less than 20 percent.
Qualified Institutional Investor 13d-1 b Within 45 days of the end of the calendar year in which the beneficial owner acquired more than 5 percent and within 10 days of the end of the calendar month in which the beneficial owner acquired more than 10 percent. Exempt Investor 13d-1 d Within 45 days of the end of the calendar year in which the beneficial owner acquired more than 5 percent.
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