10, A public utility company in making certain solicitations regarding reorganizations of companies subject to the 1935 Act may disclose ownership information regarding securities or assets. B. 11. An investment company or unit investment trusts at time of registering must list the name and address; class of security owned; whether owned of record, beneficially or both; amount owned and percentage of each class of security owned of any person who is the owner directly or indirectly of 5% or more of the outstanding voting securities of the company. 12. Company at time of qualifying its trust indenture must list the name and address, class of voting stock owned, amount owned and percentage of each class of voting stock owned for each person owning 10% or more of the voting securities of the company. 13. Unit investment trusts and the unincorporated management investment companies must list name and - 25 Reporting Securities Cwnership by Issuing Company (Cont'd). 14. Investment Company must report if any person has 15. Company in connection with certain reclassifications, 16. Subsidiary mutual service company of a registered 17. Affiliate service company or a company principally 18. Company at time of registering a public offering must Forms Form N-1Q Quarterly report for When Disclosure If a company fails to make a required filing with List of Attachments* 1. 2. 3. 4. "Reporting Requirements and Dissemination of Information of Corporate Ownership and Structure" ("GAO Study"), "Disclosure of Corporate Ownership", 93rd Congress, 2nd Session, Senate Document No. 93-62, p. 222. 17 CFR, Code of Federal Regulation, Commodity and Securities Exchanges, Revised April 1, 1974. Securities Act of 1933. Securities Exchange Act of 1934. 5. Public Utility Holding Company Act of 1935. 6. 7. Trust Indenture Act of 1939. Investment Company Act of 1940. 8. Investment Advisers Act of 1940. 9. 10. 11. Statement of the Honorable Ray Garrett, Jr., Chairman, 12. Securities Act of 1933, Applicable Forms. 13. Securities Exchange Act of 1934, Applicable Forms. 14. Public Utility Holding Company Act of 1935, Applicable Forms. Trust Indenture Act of 1939, Applicable Forms. 15. 16. 17. 18. Investment Company Act of 1940, Applicable Forms. 19. SEC Docket. 20. 21. Official Summary of Securities Transactions and Holdings, SEC. *For general distribution, only the portion of the GAO Study pertaining to Reporting to the SEC is attached. The other documents are available at the SEC. |