Cal. Code Regs. tit. 10 § 80.8105

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

Section 80.8105 - Information Regarding Equity Security Owners

In case the licensee is not a reporting company and any person is known to the licensee to have been a 10 percent (including associates) equity security owner of the licensee as of the end of the fiscal year or in case the licensee has a parent which is not a reporting company and any person is known to the licensee to have been a 10 percent (including associates) equity security owner of such parent as of the end of the fiscal year, 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 licensee or with a parent of the licensee.

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

Cal. Code Regs. Tit. 10, § 80.8105

Note: Authority cited: Section 33202, Financial Code. Reference: Sections 33221 and 33901, Financial Code.