Louisiana Administrative Code
Title 37 - INSURANCE Part
Part XIII - Regulations
Chapter 75 - Regulation 27-Insider Trading of Equity Securities of a Domestic Stock Insurance Company
Subchapter E - Regulation under Section 1529 of the Act
Section XIII-7561 - Form A

Universal Citation: LA Admin Code XIII-7561

Current through Register Vol. 50, No. 9, September 20, 2024

A. Instructions

1. Persons Required to File Statements
a. A statement on this form is required to be filed by every person who is directly or indirectly the beneficial owner of more than 10 percent of any equity security of a domestic stock insurance company, or who is a director or an officer of such a company.

2. When Statements Are to Be Filed
a. Persons who hold any of the relationships specified in §7561. A.1.a are required to file a statement by July 1, 1966, or within 10 days after assuming such relationship, whichever date is later.

b. Statements are not deemed to have been filed with the commissioner until they have actually been received by him.

3. Where Statements Are to Be Filed
a. One signed copy of each statement shall be filed with the Commissioner of Insurance, P. 0. Box 44214, Baton Rouge, Louisiana.

4. Separate Statement for Each Company
a. A separate statement shall be filed with respect to the securities of each company.

5. Relationship of Reporting Person to Company
a. Indicate clearly the relationship of the reporting person to the company, for example, "Director", "Director and Vice President", "Beneficial owner of more than 10 percent of the company's common stock", etc.

6. Date as of which Beneficial Ownership Is to Be Given
a. The information as to beneficial ownership of securities shall be given as of July 1, 1966, or in the case of persons who subsequently assume any of the relationships specified in §7561. A.1 a, as of the date that relationship was assumed.

7. Title of Security
a. The statement of the title of a security shall be such as clearly to identify the security, even though there may be only one class, for example, "Class A Common Stock", "Common Stock", etc.

8. Nature of Ownership
a. Under "Nature of Ownership", state whether ownership of the securities is "direct" or "indirect". If the ownership is indirect (i.e., through a partnership, corporation, trust or other entity) indicate, in a footnote or other appropriate manner, the name or identity of the medium through which the securities are indirectly owned. The fact that securities are held in the name of a broker or other nominee does not, of itself, constitute indirect ownership. Securities owned indirectly shall be reported on separate lines from those owned directly and also from those owned through a different type of indirect ownership.

9. Statement of Amount Owned
a. In stating the amount of securities beneficially owned, give the face amount of debt securities or the number of shares or other units of other securities. In the case of securities owned indirectly, the entire amount of securities owned by the partnership, corporation, trust or other entity shall be stated. The person whose ownership is reported may, if he so desires, also indicate in a footnote or other appropriate manner, the extent of his interest in the partnership, corporation, trust or other entity.

10. Inclusion of Additional Information. A statement may include any additional information or explanation deemed relevant by the person filing the statement.

11. Signature. If the statement is filed for a corporation, partnership, trust, etc., the name of the organization shall appear over the signature of the officer or other person authorized to sign the statement. If the statement is filed for an individual, it shall be signed by him or specifically on his behalf by a person authorized to sign for him.

B. Form

STATE OF LOUISIANA

COMMISSIONER OF INSURANCE

BATON ROUGE

DUDLEY A. GUGLIELMO

COMMISSIONER

FORM A

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Act Eight of 1966

______________________________________________________________________________________________________

(Name of Insurance Company)

_______________________________________________________________________________________________________________________________

(Name of person whose ownership is required)

_______________________________________________________________________________________________________________________________

(Business address of such person: street, city, zone, state)

Relationship of such person to company named above. (See instruction 5.) _____________________________________________________

_____________________________________________________________________________________________________

Date of event which requires the filing of this statement. (See instruction 6.) ___________________________________________________

SECURITIES BENEFICIALLY OWNED

TITLE OF SECURITY

(See instruction 7)

NATURE OF OWNERSHIP

(See instruction 8)

AMOUNT OWNED

(See instruction 9)

REMARKS : (See instruction 9.)

I affirm under penalty of perjury that the foregoing is full, true and correct.

Date of Statement______________ _________________

(Signature)

AUTHORITY NOTE: Promulgated in accordance with R.S. 22:2.

Disclaimer: These regulations may not be the most recent version. Louisiana may have more current or accurate information. We make no warranties or guarantees about the accuracy, completeness, or adequacy of the information contained on this site or the information linked to on the state site. Please check official sources.
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