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P with the assistance of Rebecca M. Tabb of that firm February 2010 This white paper was commissioned by the Council of Institutional Investors to educate its members, policymakers and the general public about the OBO/NOBO distinction in beneficial ownership and the implications for investors of potential changes to that system. The views and opinions expressed in the paper do not necessarily represent the views or opinions of Council members, board of directors or staff. Contents Executive S.
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NOBOS FAQ
Under financial regulations, a beneficial owner is considered anyone with a stake of 25% or more in a legal entity or corporation. Beneficial owners can also be considered anyone with a significant role in the management or direction of those entities, or any trusts that own 25% or more of an entity.
“Beneficially held” means the shareholder gets the direct benefit of owning the shares. “Non-beneficially” held means that the shareholder is holding the share "as trustee for" or "in trust for" a second entity such as a Trust, a company or another individual.
Registered owners (or record holders) receive a proxy and cast votes directly with the company that issues the shares. Beneficial owners, on the other hand, receive a “voting instruction form” directing their brokerage firm or other financial institution how to vote their shares.
An objecting beneficial owner (OBO) instructs the financial intermediary who holds the securities to not provide the owner's name and personal information to the company that issued the securities. A non-objecting beneficial owner (NOBO) agrees to allow their personal information to be released to the company.
Beneficial shareholders are broken up into two categories, Objecting Beneficial Owners (OBOs) and Non-Objecting Beneficial Owners (NOBOs). Per SEC Rules 14b-1 & 14b-2, a NOBO list shows the beneficial owners that do not object to the issuer knowing their name, mailing address and share amount.
A beneficial owner who has allowed his or her name and other personal information to be disclosed to the companies they have invested in.
Per SEC Rules 14b-1 and 14b-2, a NOBO list shows the beneficial owners that do not object to the issuer knowing their name, mailing address and share amount. E-mail addresses and telephone numbers are not included on the list.
The term non-objecting beneficial owner (NOBO) refers to beneficial owners of companies who have permitted their financial institutions to release their personal information to the companies they have invested in.
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The OBO/NOBO Distinction in Beneficial Ownership
This white paper was commissioned by the Council of Institutional Investors to educate its...
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