Legal Library: Search

8/13/93 - I advised writer that it is the view of the PMN Office that no filing is required. RBSmith

7/21/93 - The writer was advised that the PMN Offices response to question (1)is affirmative. In response to question (2), the grant of a non-exclusive trademarklicense need not be included in the...

7/21/93 - called letter writer and advised that the Premerger Offices view is that the investment advisor does not hold the voting stock it acquires on behalf of its clients. (Also discussed possible...

7/15/92 - called writer and left message that this letter corrects the incorrect advice given by me and reflected in the last paragraph on page 2 of the 7/13/93 letter. The letter of 7/6 and 7/13, as...

7/9/93 called writer and advised that the conditional contributions and/or guarantees to be made to the joint venture if it is successful in its intended activities need not be counted into the assets...

None

I am not an attorney. This scenario is not exempt under Section 802.9. Trustees are comparable to officers or directors of a corporation. Therefore, the trustees of B becoming directors of A is...

Despite the fact that the leased assets are carried on the books of the lessee(redacted) (p.21), beneficial owership (sic) of the assets remains with the lessor(redacted). The (redacted) can buy the...

None

7/1/93. Conclusion is OK. But only because they do not hold enough stock to elect the one director. If they could elect one by themselves, the transaction would not be exempt. T.F.H."

No written comments from the PNO staff

6/29/93 - Advised writer that land and voting stock held by acquired person couldbe included as one transaction. Advised that Company A stock taken back byacquired person may also be reportable. He...

(Redacted) called HDR on 6-18-93. Confirmed that figures in 2 are latest, andtotal holdings will be less than $15 mm. Exempt - 802.20 (b). HDR. RSconcurs.

Confirmed. RS agrees.