This form is a due diligence questionnaire that pertains to the preparation and filing of the Registration Statement. It is necessary that the company be supplied with answers to the questions in this questionnaire from directors and officers of the listed company. Also, this questionnaire is to be answered by every non-employee director and proposed non-employee director of the company regarding business transactions.
Virginia Questionnaire for Nonemployee Directors
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US-DD06025
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FAQ
Who should determine Section 16 officer status? Decisions regarding who is a Section 16 officer are generally made each year by the company's Board of Directors, usually with input from management and company counsel.
The rules under section 16 of the Act apply to any class of equity securities of an issuer whether or not registered under section 12 of the Act. The rules under section 16 of the Act also apply to non-equity securities as provided by the Investment Company Act of 1940.
Harassment, inappropriate sexual conduct, discrimination, violence victimization and many other kinds of offensive behavior is considered a hostile work environment. Happening consistently or purposefully, all of these things will create a hostile work environment.
Section 16 imposes filing standards for "insiders," and defines insiders as any officers, directors, or stockholders who possess stock that directly or indirectly results in beneficial ownership of more than 10% of the company's common stock or other class of equity.
Under IRS guidelines, an individual is generally considered to be an independent contractor if the payer has the right to control or direct only the result of the work and not what will be done and how it will be done.
These resolutions are designed to meet the approval requirements for exempting transactions from short-swing profit liability under Rule 16b-3(d) issued under the Securities Exchange Act of 1934.
A hostile work environment is a work environment that a reasonable person would find intolerable due to the frequency, severity or pervasiveness of objectionable words, actions or other materials that direct hostility at a person because of his or her sex, ethnicity, race or age.
The SEC amended Rule 16b-3 to confirm that acquisitions from or dispositions to a company by its officers or directors may be exempt from Section 16(b), whether or not intended for a compensatory or other particular purpose, as long as one of the approval conditions is satisfied.
Harassment, sexual harassment, discrimination, victimization, violence and many other kinds of offensive or inappropriate behavior qualify as unwelcome conduct. All of them will create a hostile work environment if they're happening consistently or purposefully, or in the case of a single incident, if they're severe.
Section 16 Reporting Person means a person required by Section 16 of the Exchange Act and related rules to file reports concerning such person's ownership of and transactions in Company equity securities.
