18 Del. Admin. Code § 401-28.0
Current through Register Vol. 28, No. 5, November 1, 2024
Section 401-28.0 - Item 3. Interest in Securities of the Insurer28.1 State the amount of each class of stock of the insurer which you own beneficially, directly or indirectly.28.2 State the amount of each class of stock of the insurer which you own of record but not beneficially.28.3 State with respect to all securities of the insurer purchased or sold within the past two years, the dates on which they were purchased or sold and the amount purchased or sold on each such date.28.4 If any part of the purchase price or market value of any of the stock specified in paragraph 28.3 is represented by funds borrowed or otherwise obtained for the purpose of acquiring or holding such stock, so state and indicate the amount of the indebtedness as of the latest practicable date. If such funds were borrowed or obtained otherwise than pursuant to a margin account or bank loan in the regular course of business of a bank, broker or dealer, briefly describe the transaction, and state the names of the parties.28.5 State whether or not you are a party to any contracts, arrangements or understandings with any person with respect to any stock of the insurer, including but not limited to joint ventures, loan or option arrangements, puts or calls, guarantees against loss or guarantees of profits, division of losses or profits, or the giving or withholding of proxies. If so name the persons with whom such contracts, arrangements, or understandings exist and give the details thereof.28.6 State the amount of stock of the insurer owned beneficially, directly or indirectly, by each of your associates and the name and address of each such associate.28.7 State the amount of each class of stock of any parent, subsidiary or affiliate of the insurer which you own beneficially, directly or indirectly.18 Del. Admin. Code § 401-28.0