Cal. Code Regs. tit. 10 § 80.4108

Current through Register 2024 Notice Reg. No. 52, December 27, 2024

Section 80.4108 - Information Regarding Equity Security Owners

In case the applicant is not a reporting company and any person is known to the applicant to be a 10 percent (including associates) equity security owner of the applicant, or in case the applicant has a parent which is not a reporting company and any person is known to the applicant to be a 10 percent (including associates) equity security owner of such parent, provide the following information with respect to each such 10 percent (including associates) equity security owner:

(a) Name.

(b) Business address.

(c) Title of any position which the person holds with the applicant or with a parent of the applicant.

(d) Amount and types of equity securities of the applicant or of a parent of the applicant owned by the person and the person's associates.

Cal. Code Regs. Tit. 10, § 80.4108

1. Amendment of NOTE filed 8-11-2015; operative 10-1-2015 (Register 2015, No. 33).

Note: Authority cited: Sections 321, 334 and 2032, Financial Code. Reference: Section 2032, Financial Code.

1. Amendment of Note filed 8-11-2015; operative 10/1/2015 (Register 2015, No. 33).