Section 26-B238. INTEREST OF MANAGEMENT AND OTHERS IN CERTAIN TRANSACTIONS

 

238.1The issuer shall describe briefly, and where practicable state the approximate amount of any material interest, direct or indirect, of any of the persons specified below in any material transactions during the last 3 years, or in any material proposed transactions, to which the issuer or any of its subsidiaries was or is to be a party:

 

(a)Any director or officer of the issuer;

 

(b)Any security holder named in § 237;

 

(c)Any person on whose behalf any part of the offering is to be made in non-issuer distribution; and

 

(d)Any person (other than the issuer or its subsidiaries) with whom any of the foregoing persons had a material relationship.

 

238.2The issuer shall state the dates of, the parties to, and the general effect of every management or other material contract made or to be made otherwise than in the ordinary course of business, if it is to be performed in whole or in part at, or after, the filing of the registration statement, or was made within the past 2 years.

 

source

Amended by Emergency Rulemaking published at 47 DCR 9910 (December 15, 2000) [EXPIRED]; as amended by Emergency Rulemaking published at 48 DCR 1987 (March 2, 2001) [EXPIRED]; as amended by Emergency and Proposed Rulemaking published at 48 DCR 3952 (May 4, 2001) [EXPIRED]; as amended by Emergency and Proposed Rulemaking published at 48 DCR 9177 (October 5, 2001) [EXPIRED]; as amended by Final Rulemaking published at 48 DCR 10879 (November 30, 2001).