Half Empty or Half Full? Thoughts on the SEC's Rule 10b5-1 Proposal
from Equity Expert: A Podcast from the NASPP Hosted by National Association of Stock Plan Professionals
Barbara discusses the SEC's new Rule 10b5-1 proposal with John Jenkins of CCRcorp. Host: Barbara Baksa, Executive Director, NASPP Guest: John Jenkins, Senior Editor, CCRcorp Episode Notes: Background on the Rule 10b5-1 proposal (0:25) Required cooling-off period (2:28) Prohibition on overlapping plans (4:26) Limitation on single-trade plans (5:34) Good faith requirement (6:52) Certification requirement (8:13) Quarterly disclosure of adoption and termination of 10b5-1 plans by officers and directors (9:25) Form 10b5-1 checkbox on Forms 4 and 5 (9:34) Reporting gifts on Form 4 (9:51) Disclosure of insider trading policies (10:07) Disclosure of options granted to named executive officers or directors within 14 days of company filings and repurchases (10:17) John's additional thoughts on the proposed rules (10:47) Happenings at CCRcorp that NASPP members might be interested in (12:11) Additional resources (12:52) Resources Mentioned in this Episode: NASPP blogs on Rule 10b5-1 SEC Proposes Amendments to Rule 10b5-1 Rule 10b5-1 & Buybacks: Practical Impacts of SEC's Proposals (TheCorporateCounsel.net webcast) The Latest: Your Upcoming Proxy Disclosures (CompensationStandards.com webcast) PracticalESG.com Support the show
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Barbara discusses the SEC's new Rule 10b5-1 proposal with John Jenkins of CCRcorp. Host: Barbara Baksa, Executive Director, NASPP Guest: John Jenkins, Senior Editor, CCRcorp Episode Notes: Background on the Rule 10b5-1 proposal (0:25)Required cooling-off period (2:28)Prohibition on overlapping plans (4:26)Limitation on single-trade plans (5:34)Good faith requirement (6:52)Certification requirement (8:13)Quarterly disclosure of adoption and termination of 10b5-1 plans by officers and direct...
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