Ocata Therapeutics Inc fka OCAT

[rocky301]

elk,

well, if there are positions being taken by any hedges, mutuals or other institutional companies/managers they will be reported and I hope we have some. The risks of doing things any different would be a stretch unless they are small companies not meeting SEC thresholds. Even if we applied to an exchange today it would be months. Links below are not directed at your post elk but rather general info for the board.

Section 13(f) is a pretty well known rule among the players, even in the hedge fund blogs. http://www.hedgefundlawblog.com/section-13f-of-the-securities-exchange-act-of-1934.html

Some examples of institutional investment managers include registered investment advisors, banks, broker/dealers and insurance companies. However, the definition is not limited to registered entities. It includes corporations and pension funds that manage their own investment portfolios. It also includes investment advisors to hedge funds and other private investment advisors.

How frequently must Form 13F be filed?

(good read)
Form 13F must be filed within 45 days of the end of each calendar quarter. The initial report must be filed at the end of the first year in which the institutional investment manager exceeds the $100 million threshold. For example if an institutional investment manager exceeds the $100 million threshold for the first time in July 2007, the firm will need to wait until January 2008 to submit its first report no later than 45 days after December 31. The firm must then file subsequent reports within 45 days of the end of each calendar quarter.
http://www.ria-compliance-consultants.com/form13f_section_13d_schedule_13g.html#6

List of Section 13F Securities
3rd Quarter ?? FY 2010
http://www.sec.gov/divisions/investment/13f/13flist2010q3.pdf