<html> <head> <meta name=Generator content="Microsoft Office HTML Filter 2.0"> <meta http-equiv=Content-Type content="text/html; charset=windows-1252"> <meta name=Originator content="Microsoft Word 10"> <title>Rule 20:06:04 INSIDER TRADING OF EQUITY SECURITIES</title> <META NAME="Keywords" Content="Administrative Rules 20:06:04"> <META NAME="Description" Content="Administrative Rules 20:06:04 INSIDER TRADING OF EQUITY SECURITIES"> <style> <!-- --> </style> </head> <body lang=EN-US> <div> <p align=center><b>CHAPTER 20:06:04</b></p> <p align=center><b>INSIDER TRADING OF EQUITY SECURITIES</b></p> <p>Section</p> <p><a href="DisplayRule.aspx?Rule=20:06:04:01">20:06:04:01</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Definitions.</p> <p><a href="DisplayRule.aspx?Rule=20:06:04:02">20:06:04:02</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Securities held of record.</p> <p><a href="DisplayRule.aspx?Rule=20:06:04:03">20:06:04:03</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Securities held in trust, deposit agreements.</p> <p><a href="DisplayRule.aspx?Rule=20:06:04:04">20:06:04:04</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; When beneficial owners are record owners.</p> <p><a href="DisplayRule.aspx?Rule=20:06:04:05">20:06:04:05</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Determination of ownership of more than 10 percent of an equity security.</p> <p><a href="DisplayRule.aspx?Rule=20:06:04:06">20:06:04:06</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Disclaimer of beneficial ownership.</p> <p><a href="DisplayRule.aspx?Rule=20:06:04:07">20:06:04:07</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Exemptions from statements of ownership filings and restrictions on profits.</p> <p><a href="DisplayRule.aspx?Rule=20:06:04:08">20:06:04:08</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Profits in estates.</p> <p><a href="DisplayRule.aspx?Rule=20:06:04:09">20:06:04:09</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Securities reacquired for account of an insurer.</p> <p><a href="DisplayRule.aspx?Rule=20:06:04:10">20:06:04:10</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Exemption of securities purchased or sold by odd lot dealers.</p> <p><a href="DisplayRule.aspx?Rule=20:06:04:11">20:06:04:11</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Certain transactions subject to statements of ownership filings.</p> <p><a href="DisplayRule.aspx?Rule=20:06:04:12">20:06:04:12</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Ownership of securities held in trust.</p> <p><a href="DisplayRule.aspx?Rule=20:06:04:13">20:06:04:13</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Exemptions from statements of ownership filings.</p> <p><a href="DisplayRule.aspx?Rule=20:06:04:14">20:06:04:14</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Trust filing requirement.</p> <p><a href="DisplayRule.aspx?Rule=20:06:04:15">20:06:04:15</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Trustee report.</p> <p><a href="DisplayRule.aspx?Rule=20:06:04:16">20:06:04:16</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Definition of trustee.</p> <p><a href="DisplayRule.aspx?Rule=20:06:04:17">20:06:04:17</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Determination of beneficial owner.</p> <p><a href="DisplayRule.aspx?Rule=20:06:04:18">20:06:04:18</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Indirect interests.</p> <p><a href="DisplayRule.aspx?Rule=20:06:04:19">20:06:04:19</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Prior transactions.</p> <p><a href="DisplayRule.aspx?Rule=20:06:04:20">20:06:04:20</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Exemption for small transactions.</p> <p><a href="DisplayRule.aspx?Rule=20:06:04:21">20:06:04:21</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Gifts.</p> <p><a href="DisplayRule.aspx?Rule=20:06:04:22">20:06:04:22</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; First report after transaction.</p> <p><a href="DisplayRule.aspx?Rule=20:06:04:23">20:06:04:23</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Exemption from restrictions on profits, transactions which need not be reported under statements of ownership filings.</p> <p><a href="DisplayRule.aspx?Rule=20:06:04:24">20:06:04:24</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Exemption from restrictions on profits of certain transactions effected in connection with a distribution.</p> <p><a href="DisplayRule.aspx?Rule=20:06:04:25">20:06:04:25</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Exemption from restrictions on profits of acquisitions of shares of stock and stock options under certain stock bonus, stock option, or similar plans.</p> <p><a href="DisplayRule.aspx?Rule=20:06:04:26">20:06:04:26</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Participation of officers.</p> <p><a href="DisplayRule.aspx?Rule=20:06:04:27">20:06:04:27</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Participation of directors.</p> <p><a href="DisplayRule.aspx?Rule=20:06:04:28">20:06:04:28</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Participation of officers who are not directors.</p> <p><a href="DisplayRule.aspx?Rule=20:06:04:29">20:06:04:29</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Exclusions of options and equity securities acquired.</p> <p><a href="DisplayRule.aspx?Rule=20:06:04:30">20:06:04:30</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Limitations.</p> <p><a href="DisplayRule.aspx?Rule=20:06:04:31">20:06:04:31</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Additional definitions.</p> <p><a href="DisplayRule.aspx?Rule=20:06:04:32">20:06:04:32</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Exemption from restrictions on profits of certain transactions in which securities are received by redeeming other securities.</p> <p><a href="DisplayRule.aspx?Rule=20:06:04:33">20:06:04:33</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Exemption of long-term profits incident to sales within six months of the exercise of an option.</p> <p><a href="DisplayRule.aspx?Rule=20:06:04:34">20:06:04:34</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Limitations on profits.</p> <p><a href="DisplayRule.aspx?Rule=20:06:04:35">20:06:04:35</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Exemption of plans or agreements of merger.</p> <p><a href="DisplayRule.aspx?Rule=20:06:04:36">20:06:04:36</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Excluded.</p> <p><a href="DisplayRule.aspx?Rule=20:06:04:37">20:06:04:37</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Establishing market price.</p> <p><a href="DisplayRule.aspx?Rule=20:06:04:38">20:06:04:38</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Exemption from restrictions on profits of certain acquisitions and dispositions of securities pursuant to merger or consolidations.</p> <p><a href="DisplayRule.aspx?Rule=20:06:04:39">20:06:04:39</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Merger defined.</p> <p><a href="DisplayRule.aspx?Rule=20:06:04:40">20:06:04:40</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Availability of exemption.</p> <p><a href="DisplayRule.aspx?Rule=20:06:04:41">20:06:04:41</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Exemption from restrictions on profits of certain securities received upon surrender of similar equity securities.</p> <p><a href="DisplayRule.aspx?Rule=20:06:04:42">20:06:04:42</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Exemption from restrictions on profits of certain transactions involving an exchange of similar securities.</p> <p><a href="DisplayRule.aspx?Rule=20:06:04:43">20:06:04:43</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Exemption of certain securities from insider trading.</p> <p><a href="DisplayRule.aspx?Rule=20:06:04:44">20:06:04:44</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Exemption from insider trading of the act of certain transactions effected in connection with a distribution.</p> <p><a href="DisplayRule.aspx?Rule=20:06:04:45">20:06:04:45</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Exemption from insider trading of the act of sales of securities to be acquired.</p> <p><a href="DisplayRule.aspx?Rule=20:06:04:46">20:06:04:46</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Arbitrage transactions under insider trading.</p> <p><a href="DisplayRule.aspx?Rule=20:06:04:47">20:06:04:47</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Approval of forms.</p> </div> </body> </html>