4. If Amendment, Date of Original Filed (Month/Day/Year) 6. Individual or Joint/Group Filing (Check Applicable Line) Form filed by One Reporting Person X Form filed by More than One Reporting Person Rule 10b5-1(c) Transaction Indication Check this box to indicate that a transaction was...
4. If Amendment, Date of Original Filed (Month/Day/Year) 6. Individual or Joint/Group Filing (Check Applicable Line) X Form filed by One Reporting Person Form filed by More than One Reporting Person Rule 10b5-1(c) Transaction Indication Check this box to indicate that a transaction was...
Transaction Date...Transaction Code (A = Acquired, D = Disposed)...the total amount of securities involved...and the total dollar amount value of the transaction. Other common codes used when filing an SEC Form 4 are “S” (for ‘sale’) and “P” (for purchase). See Section ...
4. If Amendment, Date of Original Filed (Month/Day/Year) 6. Individual or Joint/Group Filing (Check Applicable Line) XForm filed by One Reporting Person Form filed by More than One Reporting Person Rule 10b5-1(c) Transaction Indication ...
Form filed by More than One Reporting Person Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned 1. Title of Security (Instr. 3)2. Transaction Date (Month/Day/Year)2A. Deemed Execution Date, if any (Month/Day/Year)3. Transaction Code (Instr. 8)4. Securities...
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Best Practices Hardware and Software Support Some functions of TrustSec, in particular inline tagging and SGACL enforcement, require hardware support. Other TrustSec functions like classification and SXP are supported in software. Ensure that the
If this Form is a registration statement pursuant to General Instruction I.C. or a post-effective amendment thereto that shall become effective upon filing with the Commission pursuant to Rule 462(e) under the Securities Act, check the following box. ☒ If this Form is a post-effective am...
Fund advertisements and sales literature,including newspapers, periodicals, television and radio ads, websites, fund fact sheets, form letters, and portfolio manager commentaries. Fund board governance information,including general information regarding board members and board...
Securities and Exchange Commission (the “SEC”) a Form ID, including amendments thereto, and any other documents necessary or appropriate to obtain codes and passwords enabling the undersigned to make electronic filings with the SEC of Forms D (“Form D”) required to be filed in accordance ...