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10 Nov 2011, 7:39 am
Board members, named executives under Regulation S-K, and Rule 13D filers seeking a change in control, may not be a member of any such party.All members of any access-nominating group must affirm in writing that they are not aware, and have no reason to suspect, that any member of their party has an explicit or implicit, direct or indirect, agreement or understanding either to nominate or regarding the nature of any nomination, with anyone not a member of their party.While the U.S. [read post]
4 Nov 2011, 11:29 am
“Such restrictions, in our view, should include a reasonable minimum ownership standard, a maximum number of seats, and an exclusion on filers seeking a change in control. [read post]
1 Sep 2011, 11:33 am
More than 10 months after draft rules were proposed, institutional investors that are Form 13F filers still are waiting for the U.S. [read post]
4 Aug 2011, 10:35 am
As of the morning of Aug. 4, the commission had not set a new date for consideration of final proxy vote disclosure rules for institutions that are 13F filers. [read post]
25 Jul 2011, 11:38 am
The Securities and Exchange Commission announced today that it has delayed consideration of final proxy vote disclosure rules for institutions that are Form 13F filers. [read post]
4 Apr 2011, 7:30 pm
The Carpenters and other building trade unions have been the primary filers of shareholder proposals that have helped prod more than 800 companies to adopt majority voting provisions since 2005. [read post]
5 Aug 2010, 11:30 am
., non-accelerated filers, which have less than $75 million in market capitalization) or investment companies will be exempted from the rule. [read post]
15 Jun 2010, 10:14 am
Tim Smith, a senior vice president with Walden Asset Management, a filer of ESG and compensation-related proposals, also contacted the company. [read post]
8 Mar 2010, 7:49 am
The primary filers are retail investors affiliated with California-based activist John Chevedden, while the Florida State Board of Administration has filed at Hospitality Properties Trust. [read post]
31 Jan 2010, 10:00 pm
In re Janet Blair (Case No. 09-76150-ast) and In re Allen Gary Smith (Case No. 09-77562-ast). [read post]
31 Jan 2010, 3:41 pm
Allen. [read post]
19 Jan 2010, 10:24 am
In that case, Hain argued that a letter from the proponent’s broker-dealer that confirmed ownership failed to cure inadequacies in a proof-of-ownership letter initially provided by the filer’s custodian. [read post]
12 Jan 2010, 4:49 am
RiskMetrics' Ted Allen recently weighed in with enlightening analysis of where we stand on regulatory reform and the possible impact of Senator Dodd's retirement announcement (here is the Washington Post's take on the same topic): Capitol Hill and governance observers have varying views on what U.S. [read post]
21 Dec 2009, 5:24 am
Here is IP Think Tank’s weekly selection of top intellectual property news breaking in the blogosphere and internet. [read post]
25 Aug 2009, 12:29 pm
For issuers, the minimum holding would be 1 percent at "large accelerated" filers (those with more than $750 million in publicly traded securities; 3 percent at "accelerated" filers ($75 million to $750 million in traded securities); and 5 percent at "non-accelerated" filers (less than $75 million in traded securities). [read post]
22 May 2009, 11:29 am
At "non-accelerated filers" (companies with less than $75 million in market value), the threshold would be 5 percent. [read post]
6 Mar 2009, 7:43 am
So far, all of the early filers note that the compensation vote is non-binding. [read post]
3 Aug 2008, 1:11 pm
When a case of any kind is filed in a civil court the filer is charged a fee. [read post]
28 Sep 2007, 8:38 am
Director of Publications Ted Allen contributed to this article. [read post]
15 May 2007, 9:45 am
Professor Roberta Romano of Yale University Law School observed that the costs of 14a-8 proposals are borne by all shareholders, rather than the individual filers. [read post]
