InvestorsHub Logo
icon url

DD-214

09/04/15 1:37 AM

#80973 RE: Nate19 #80951

Here you go Nate..

https://www.sec.gov/about/forms/form3data.pdf

GENERAL INSTRUCTIONS
(a) This Form must be filed by the following persons (“reporting person”):
(i) any director or officer of an issuer with a class of equity securities registered pursuant to Section 12 of the Securities Exchange Act of 1934 (“Exchange Act”); (Note: Title is not determinative for purposes of determining “officer” status. See Rule 16a-1(f) for the definition of “officer”);
(ii) any beneficial owner of greater than 10% of a class of equity securities registered under Section 12 of the Exchange Act, as determined by voting or investment control over the securities pursuant to Rule 16a-1(a)(l) (“ten percent holder”);
(iii) Removed and Reserved.
(iv) any officer, director, member of an advisory board, investment adviser, affiliated person of an investment
adviser or beneficial owner of more than 10% of any class of outstanding securities
(other than short-term paper) of a registered closed-end investment company, under Section 30(f) of the Investment Company Act of 1940; and
(v) any trust, trustee, beneficiary or settlor required to report pursuant to Rule 16a-8.
(b) If a reporting person is not an officer, director, or ten percent holder, the person should check “other” in Item 5 (Relationship of Reporting Person to Issuer) and describe the reason for reporting status in the space provided.
(c) If a person described above does not beneficially own any securities required to be reported (See Rule 16a-1 and Instruction 5), the person is required to file this Form and state that no securities are beneficially owned.
(a) This Form must be filed within 10 days after the event by which the person becomes a reporting person (i.e., officer, director, ten percent holder or other person). This Form and any amendment is deemed filed with the Commission or the Exchange on the date it is received by the Commission or the Exchange, respectively. See, however, Rule 16a-3(h) regarding delivery to a third party business that guarantees delivery of the filing no later than the specified due date.
(b) A reporting person of an issuer that is registering securities for the first time under Section 12 of the Exchange Act must file this Form no later than the effective date of the registration statement.
(c) A separate Form shall be filed to reflect beneficial ownership of securities of each issuer.