 | Andrea Lohse - 2005 - 580 pages
...controlled by, or is under common control with, the person specified." Dabei wird control verstanden als „the possession, direct or indirect, of the power...of voting securities, by contract, or otherwise." Zu diesem Personenkreis zählen insbesondere „executive officers, directors that are also employees... | |
 | Douglas L. Hammer - 2005 - 398 pages
...intermediaries, controls, or is controlled by, or is under common control with, an issuer.63 "Control" means "the possession, direct or indirect, of the...the ownership of voting securities, by contract, or otherwise."64 Percentage ownership does not determine control, but 57. Securities Act § 2(a)(4), 15... | |
 | Frederick D. Lipman, L.Keith Lipman - 2006 - 290 pages
...term "control" consistent with other definitions of this term under the Securities Exchange Act as "the possession, direct or indirect, of the power...the ownership of voting securities, by contract or otherwise."6 The determination of whether a person falls within the category of an affiliate requires... | |
 | Jean L. Batman - 2007 - 802 pages
...control with, a specified Person. For the purpose of this definition, the term "control" shall mean the possession, direct or indirect, of the power to...ownership of voting securities, by contract or otherwise. "Agreement" shall mean this Operating Agreement, including Appendix 1 (Tax Accounting Procedures) and... | |
 | Harding de C. Williams - 2006 - 382 pages
...officer of an affiliate; and • a director who is also an employee of an affiliate.14 "Control" includes the possession, direct or indirect, of the power to...the ownership of voting securities, by contract, or otherwise.15 Exemptions from the Independence Requirements New issuers. Because of the likelihood that... | |
 | Benjamin S. Neuhausen, Rosemary Schlank, Ronald G. Pippin - 2007 - 548 pages
...necessary to define several terms. Rule l-02(g) of Regulation SX defines the term "control" as "... the possession, direct or indirect, of the power to...a person, whether through the ownership of voting shares, by contract, or otherwise." Therefore, a majority shareholder would usually have control, while... | |
 | Bruce F. Dravis - 2007 - 206 pages
...intermediaries, controls, or is controlled by, or is under common control with, the person specified."36 The term 'control' (including the terms 'controlling,'...the ownership of voting securities, by contract, or otherwise.37 A person will be deemed not to be in control of a specified person ... if the person (1)... | |
 | 1971 - 668 pages
...unincorporated person. (e) Commission. The term "Commission" means the Securities and Exchange Commission. (f ) Control. The term "control" (including the terms "controlling",...ownership of voting securities, by contract, or otherwise. (g) Director. The term "director" means any director of a corporation or any person performing similar... | |
 | 1967 - 748 pages
...unincorporated person. (e) Commission. The term "Commission" means the Securities and Exchange Commission. (f) Control. The term "control" (Including the terms "controlling",...ownership of voting securities, by contract, or otherwise. (g) Director. The term "director" means any director of a corporation or any person performing similar... | |
 | 1972 - 692 pages
...unincorporated person. (e) Commission. The term "Commission" means the Securities and Exchange Commission. (f ) Control. The term "control" (Including the terms "controlling",...ownership of voting securities, by contract, or otherwise. (g) Director. The term "director" means any director of a corporation or any person performing similar... | |
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control" (including the terms "controlling", "controlled by" and "under common control with") means the possession, direct or indirect, of the power to direct or cause the direction of the management and policies of a person, whether through the ownership... 
