68 Ind. Admin. Code 4-1-4

Current through December 4, 2024

Section 68 IAC 4-1-4 - Notice of public offering

Authority: IC 4-33-4; IC 4-35-4

Affected: IC 4-33; IC 4-35

Sec. 4.

A person notifying the commission of a public offering shall disclose the following information:

(1) A description of the voting securities to be offered.

(2) The proposed terms upon which the voting securities are to be offered.

(3) The anticipated gross and net proceeds of the offering, including a detailed list of expenses.

(4) The use of the proceeds.

(5) The name and address of the lead underwriter.

(6) The forms of the underwriting agreement, the agreement underwriters, if any, and the selected dealers agreements, if any.

(7) A statement of intended compliance with all applicable federal, state, local, and foreign securities laws.

(8) The names and addresses of the casino licensee or supplier licensee's counsel for the public offering, independent auditors, and special consultants for the offering.

(9) If any voting securities to be issued are not to be offered to the general public, the general nature of the offerees and the form of the offering.

(10) Any other offering material filed with the Securities and Exchange Commission that is required to be submitted pursuant to the direction of the Securities and Exchange Commission.

68 IAC 4-1-4

Indiana Gaming Commission; 68 IAC 4-1-4; filed Dec 11, 1995, 4:30 p.m.: 19 IR 1027; readopted filed Dec 1, 2003, 9:45 a.m.: 27 IR 1296; readopted filed Sep 22, 2009, 4:00 p.m.: 20091021-IR-068090475RFA; filed Dec 6, 2012, 2:32 p.m.: 20130102-IR-068110786FRA

Readopted filed 9/19/2018, 4:09 p.m.: 20181017-IR-068180283RFA

Readopted filed 10/1/2024, 9:32 a.m.: 20241030-IR-068230797RFA