2715.4400 Filing Statements


Published: 2015

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2715.4400 FILING STATEMENTS.


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Subpart 1.

Forms A and B.

Initial statements of beneficial ownership of equity securities required by clause (1) of the act shall be filed on the form specified in form A, part 2715.6401. Statements of changes in such beneficial ownership required by clause (1) shall be filed on the form specified in form B, part 2715.6403. All such statements shall be prepared and filed in accordance with the requirements of the applicable form.


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Subp. 2.

Form B filing.

Any director or officer who is required to file a statement on form B with respect to any change in beneficial ownership of equity securities that occurs within six months after that person became a director or officer of the insurer, or within six months after the date on which the act shall become applicable with respect to the equity securities of such insurer, shall include in the first such statement the information called for by form B with respect to all changes in beneficial ownership of equity securities of such insurer which occurred within six months prior to the date of the changes which requires the filing of such statement.


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Subp. 3.

Termination.

Any person who has ceased to be a director or officer of an insurer that has equity securities with respect to which the act applies, or who is a director or officer of an insurer at the time it ceases to have any equity securities with respect to which the act applies, shall file a statement on form B with respect to any change in beneficial ownership of equity securities of such insurer that shall occur on or after the date on which that person ceased to be such director or officer or the date on which the insurer ceased to have any equity securities with respect to which the act applies, as the case may be, if such change shall occur within six months after any change in beneficial ownership of such securities prior to such date. The statement on form B shall be filed within ten days after the end of the month in which the reported change in beneficial ownership occurs.