Connecticut Administrative Code
Title 38a - Insurance Department
124 - Insider Trading of Domestic Stock Insurance Company Equity Securities
Section 38a-124-16 - Reports of directors, officers and principal stockholders. Filing of statements

(a) Initial statements of beneficial ownership of equity securities required by section 38a-118 of the 1969 supplement to the general statutes shall be filed on Form 3, which Form 3 is attached as Schedule A hereto. Statements of changes in such beneficial ownership required by that section shall be filed on Form 4, also attached as Schedule B hereto. All such statements shall be prepared and filed in accordance with the requirements of the applicable form.

(b) Any director or officer who is required to file a statement on Form 4 with respect to any change in his beneficial ownership of equity securities which occurs within six months after he became a director or officer of the issuer of such securities, or within six months after equity securities of such issuer first became subject to the provisions of the act, shall include in the first such statement the information called for by Form 4 with respect to all changes in his beneficial ownership of equity securities of such issuer which occurred within six months prior to the date of the changes which requires the filing of such statement.

(c) Any person who has ceased to be a director or officer of an issuer which has equity securities subject to the provisions of the act, or who is a director or officer of an issuer at the time it ceased to have any equity securities so subject, shall file a statement on Form 4 with respect to any change in his beneficial ownership of equity securities of such issuer which shall occur on or after the date on which he ceased to be such director or officer or the date on which the issuer ceased to have any equity securities so registered, as the case may be, if such change shall occur within six months after any change in his beneficial ownership of such securities prior to such date.