Insider Trading Reporting Forms And Instructions (Page 4 of 4) in pdf

Insider Trading Reporting Forms And Instructions Page 4

NATURE OF OWNERSHIP

Under “nature of ownership,” state whether ownership of the securities is “direct” or “indirect.”

If the ownership is indirect, i.e., through a partnership, corporation, trust or other entity, indicate

in a footnote or other appropriate manner the name or identity of the medium through which the

securities are indirectly owned. The fact that securities are held in the name of a broker or other

nominee does not, of itself, constitute indirect ownership. Securities owned indirectly shall be

reported on separate lines from those owned directly and also from those owned through a

different type of indirect ownership.

STATEMENT OF AMOUNT OWNED

In stating the amount of securities beneficially owned, give the face amount of debt securities or

the number of shares or other units of other securities. In the case of securities owned indirectly,

the entire amount of securities owned by the partnership, corporation, trust or other entity shall be

stated. The person whose ownership is reported may, if the person so desires, also indicate in a

footnote or other appropriate manner the extent of the person’s interest in the partnership,

corporation, trust or other entity.

10.

INCLUSION OF ADDITIONAL INFORMATION

A statement may include any additional information or explanation deemed relevant by the

person filing the statement.

11.

SIGNATURE

If the statement is filed for a corporation, partnership, trust, etc., the name of the organization

shall appear over the signature of the officer or other person authorized to sign the statement. If

the statement is filed for an individual, it shall be signed by the individual or specifically on

behalf of the individual by a person authorized to sign for the individual.

Insider Trading Reporting Forms And Instructions Page 4