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Results from: TheCorporateCounsel.net
  1. A Frosty Proposal From the SEC on 10b5-1 Plans and Related Disclosures... Published: 2021-12-28 14:36:04
    certain awards of stock options, stock appreciation rights ... more informed decisions about investment in the company." ... not permit the person to exercise any subsequent influence ...
  2. On December 14, the SEC adopted long-awaited Published: 2022-12-27 13:55:31
    ... The SEC confirms that sell-to-cover transactions incident to option exercises may be executed ... information does not factor into the decision to trade" under Rule 10b5-1 plans. ...
  3. 46027_028_Web_BMK.pdf Published: 2025-08-05 10:10:16
    ... ensure that the Board exercises prudent judgment, ... A key component of the Board's decision-making process is ... No hedging/pledging of IBM stock No stock option repricing, ...
  4. TheCorporateCounsel Published: 2009-02-18 18:35:38
    ... (Section 4 (1½)" private sale); (3) Option exercises by employees not made pursuant to a ... The SEC apparently has abandoned this approach, as evidenced by its decision not to ...
  5. 05-198 NewYorkCourtofAppealsDecision.indd Published: 2005-06-17 11:09:56
    a 15% over-allotment option) at an IPO price of $20 ... over which Goldman exercised effective control and ... http://www.nycourts.gov/ctapps/decisions/jun05/61opn05.pdf. 2 See, ...
  6. GT Insights for Public Companies 4-3-2018 Published: 2018-04-03 20:04:37
    on their boards through direct engagement, letter writing or its voting decisions. ... options, and allowed employees to exercise those options, without providing the required ...
  7. The Boards Role in Overseeing Special Investigations Published: 2010-08-16 17:05:45
    ... of the situation and exercise their business judgment ... and evaluate options, but the board as a whole is responsible for making the key decisions as to what ...
  8. Credit impairment Published: 2017-10-09 13:39:19
    ... be redeemed by the issuing entity; or - is redeemable at the option of the holder. ... that those family members will exercise their decision-making rights in any way other than ...
  9. Client Alert Published: 2010-10-22 12:38:55
    ... is the best strategic option, and the company hires an ... law, two recent decisions of the Delaware Chancery ... directors were unable to exercise independent and ...
  10. Microsoft Word - 12cv60082 - SEC v Bankatlantic - order on summary... Published: 2014-02-04 19:57:51
    ... BLB loans "were loans where the borrower had an option ... Levan sometimes exercised what was termed a "hard no" vote which permitted him to overrule a committee decision even if ...
  11. Investing Published: 2020-10-15 19:25:52
    ... decisions regarding exclusion are taken by the owner. It is not intended that the manager should take part by exercising ... funds it was not "a real option to divest from ...
  12. FASB FLASH REPORT Published: 2015-03-05 14:32:15
    ... at risk able to exercise kickout or participating rights over the rights of the entity's decision maker, such as a ... triggered by written put options to illustrate this point. ...
  13. Mellon Proxy Guidelines Summary Published: 2024-10-29 14:27:46
    ... believe this holds boards more accountable for their annual compensation decisions. ... and consultants; (3) do not recycle exercised options; and/or (4) involve current options ...
  14. KNOWLEDGE Published: 2023-07-24 17:49:18
    The SEC exercises some oversight authority over FINRA, ... with SEC regulations, and reviewing FINRA decisions. ... illustrates the new options available to targets of ...
  15. 8352044.PDF Published: 2003-07-10 22:08:24
    trade so long as that information wasn't a factor in their decision to do so. ... employee wishing to adopt a plan for exercising stock options and selling the underlying shares. ...
  16. Transition to the new revenue standard Published: 2014-07-01 01:49:14
    However, making that decision may not be straightforward. The standard offers a range of transition options. At one end ... sampling tool may help some entities with this exercise. ...
  17. Transition to the new revenue standard Published: 2016-07-07 17:31:59
    All rights reserved. Home Which option is best? Identifying ... recognition, one key decision needs to be made as soon ... sampling tool may help some entities with this exercise. ...
  18. Client Alert Published: 2011-11-23 15:29:29
    ... securities, including equities and options. 3 "A person exercises 'investment discretion' with ... by or for the account, (B) makes decisions as to what securities or other ...
  19. Client Alert Published: 2008-09-24 20:00:03
    ... as a result of the automatic exercise or assignment of equity options or expiration of future contracts ... or for the account, (B) makes decisions as to what securities or other ...
  20. BANKRUPTCY LITIGATION ALERT Published: 2015-05-22 15:55:39
    LITIGATION ALERT May 21, 2015 New Decision Clarifies Rules Regarding Derivative ... notes held by EBF rather than exercising its option to defer such payments without penalty. ...
  21. Is It Still CMMC 2.0? DoD Clarifies the Forthcoming Cybersecurity... Published: 2024-09-17 09:31:56
    ... to award and to contractors with a CMMC requirement in contracts prior to exercising an option. ... item'' to guide those qualification decisions, and "any awards that are exclusively ...
  22. American Stock Exchange Corporate Governance Proposal Published: 2003-07-10 21:45:52
    requirements for stock option plans. 1 The following ... (May 5, 2003). 2 with the exercise of independent judgment. ... in the nomination and compensation decision making process. ...
  23. EDITION FIFTH Proxy Statement Survey- What Really Matters to... Published: 2015-02-19 16:22:24
    ... Grants of Plan-Based Awards Table, the Option Exercises and Stock Vested Table, the ... for executive compensation decisions, as well as more focused compensation ...
  24. 2024 TECHNOLOGY AND LIFE SCIENCES PIPE AND RDO REPORT Published: 2025-03-25 14:35:24
    ... require an additional investment decision, such a warrant exercisable for cash, will also typically ... have the right to convert the securities at their option prior to maturity. ...
  25. Nasdaq shareholder approval changes Published: 2004-01-15 15:04:46
    ... and to understand the value of options granted, including both exercised and unexercised awards 4. ... the implications of committee decisions -- Shareholder disclosure should ...
  26. 1960719_4.PDF Published: 2004-08-26 10:24:52
    ... notice of termination after the expiration of the cure period. 4. A decision not to exercise a renewal option should be considered an expiration of the agreement on its stated ...
  27. Heads Up Published: 2010-08-18 12:44:32
    However, the boards made the decision to also address lessor accounting in the ED. ... is reasonably certain, at the inception of the lease, that the lessee will exercise the option. ...
  28. The Regulation of Private Placements in France (Updated) Published: 2003-12-23 14:44:54
    ... an investor to make an informed decision concerning the value, the ... of stock pursuant to the exercise of previously issued options, or the distribution of stock dividends. ...
  29. Key Compensation Items Published: 2023-01-29 17:43:29
    ... This exception does not apply to sales incident to the exercise of stock options. Under the new ... to the executive compensation pay decisions that drove low support and the ...
  30. SEC Adopts Large Trader Reporting System Published: 2011-08-03 21:16:53
    ... by or for the account, (B) makes decisions as to what securities or other ... and equity repurchase agreements; (v) options exercises and assignments; (vi) any transaction ...
  31. Microsoft Word - 27May08Florio.doc Published: 2008-05-27 17:32:10
    ... by a foreign person of options, warrants, or convertible debentures that can be exercised for or converted into ... will be able to block decisions that could affect the ...
  32. Sec Memo Year-End Kickoff Published: 2007-05-11 17:46:50
    ... packages, explaining why decisions were made, by whom, and the ... regarding the determination of the exercise price of options, and how post-employment com- ...
  33. Delaware Joins States Changing Escheat Laws: A Sleeper : TheCorporateC... Published: 2012-03-08 06:26:33
    shareholders have not exercised dominion, control or any ... of these BLB loans to have option contracts in place in ... 01-6 says that once a decision has been made to sell ...
  34. Rule 12b-25 Published: 2025-01-19 00:00:00
    Law Journal (12/08) "Recent Decisions Have Held That an Issuer's ... "Automatic Extension of Stock Option Term Because of Inability to Exercise Due to Delinquent Company SEC ...
  35. Fifth Edition Contents Published: 2020-02-09 16:48:34
    ... The underwriters may exercise their over- allotment option within 30 days post-closing, which is ... will look at a number of factors when making a decision to buy your stock. ...
  36. Fourth Edition Published: 2012-11-15 20:13:00
    ... The underwriters may exercise their over-allotment option within 30 days post-closing, which is ... will look at a number of factors in making a decision to buy your stock. ...
  37. Latham & Watkins operates as a limited liability partnership... Published: 2009-04-22 00:20:13
    made the unprecedented decision to "pierce the corporate ... shareholders capable of exercising de facto veto power over ... Vimpelcom entered into an option agreement giving it the ...
  38. Microsoft Word - TR3D03! Published: 2004-07-01 12:28:50
    ... treated as loans, such as: * cashless option exercises, * ERISA plan loans, * indemnification ... the company's management to allow timely decisions regarding the required disclosure. ...
  39. S:\Vclclerk\2145-N\Memorandum Opinion and Order.wpd Published: 2006-06-23 15:04:49
    ... amended and any rights or options provided thereunder shall ... to the contrary, a decision by the Board of Directors ... objects to the court's exercise of power over the case. 7 ...
  40. Microsoft Word - Palmiterglyfinal.doc Published: 2011-09-15 10:10:00
    ... Companies to Curb Stock-Options Repricings, WALL ST. J., ... So the only way to add economic value becomes the exercise ... its Current Proxy Voting Decisions via the Internet, BUS. ...
  41. Microsoft Word - HH-20080118-11am-Hu_page-proofs-011808a-bb6... Published: 2008-01-28 13:19:36
    ... II In response, the Stork Foundation exercised an option (granted in 1990) to acquire ... [CBB] [court of appeal from decisions of public trade organizations], ...
  42. none Published: 2007-11-12 12:29:50
    ... a Delaware corporation. "Option" or "Stock Option" means a ... 10, to receive upon exercise of such right, in cash or ... ruling, judicial decision, accounting standards, ...
  43. 120620 Manifest-ESMA Published: 2012-07-05 20:57:00
    ... staff? 33 8 POLICY OPTIONS ......to (inter alia) the exercise of voting rights by investors. ... bias etc. 3 "Voting Decisions at US Mutual Funds: How ...
  44. COVID-19 Annual Meeting and SEC ... Published: 2020-04-07 17:30:53
    that would make the stock option strike prices and ... (1) walk you through key decision points, logistical ... that the committee might exercise discretion in modifying ...
  45. S:\Vclclerk\2145-N\Memorandum Opinion and Order.wpd Published: 2021-12-21 14:31:30
    ... amended and any rights or options provided thereunder shall ... to the contrary, a decision by the Board of Directors ... objects to the court's exercise of power over the case. 7 ...
  46. IN THE SUPREME COURT OF BRITISH COLUMBIA Citation: International... Published: 2012-08-13 13:17:00
    related to the stock options. [5] The petitioner ... in British Columbia exercise their voting rights. [7] ... Mr. Cooper relied on the decision of this Court in Lions ...
  47. DRAFT Published: 2013-04-26 14:16:27
    ... (b) extend the post-termination exercise period for the option from 90 days following the date of ... discretionary component, involves decisions that the board compensation ...
  48. Microsoft Word - 23_200904201819400041.doc Published: 2009-04-23 09:23:10
    ... Bay Center therefore seeks to expand its remedial options by ... had an implied duty to exercise its authority to enforce ... carve out certain "major decisions" that required Bay ...
  49. 34zh01_.DOC Published: 2007-07-19 17:29:12
    ... of the warrants and options were triggered by the ... Robotti exercised its full subscription Not Reported in A.2d ... be legitimate management decisions, taken as a whole they ...
  50. Microsoft Word - 796_200710021658490389.doc Published: 2007-10-24 18:54:31
    ... That decision was based on two observations. First, Dr. Goldberg noted that ... trade price on the grant date; and (3) the option exercise price. Based on this raw data, Dr. ...
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