[Federal Register Volume 63, Number 61 (Tuesday, March 31, 1998)]
[Rules and Regulations]
[Pages 15286-15287]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-8315]


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SECURITIES AND EXCHANGE COMMISSION

17 CFR Part 240

[Release No. 34-39538A; File No. S7-16-96 International Series--1111A]
RIN 3235-AG81


Amendments to Beneficial Ownership Reporting Requirements; 
Correction

AGENCY: Securities and Exchange Commission.

ACTION: Correction to final rules.

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SUMMARY: This document contains corrections to the final regulations 
which were published on January 16, 1998 [63 FR 2854] relating to the 
beneficial ownership reporting requirements.

EFFECTIVE DATE: March 31, 1998.

FOR FURTHER INFORMATION CONTACT: Dennis O. Garris, Chief, Office of 
Mergers and Acquisitions, Division of Corporation Finance, Securities 
and Exchange Commission at (202) 942-2920, 450 Fifth Street N.W., 
Washington, D.C. 20549.

SUPPLEMENTARY INFORMATION: The Commission adopted amendments on January 
12, 1998, to its rules relating to the reporting of beneficial 
ownership in publicly-held companies. As published, the final 
regulations contain errors with respect to the implementation of the 
amendments to the existing rules and forms. In this release, the rules 
and forms containing such errors are being corrected.
    Accordingly, the publication on January 16, 1998, of the final 
regulations

[[Page 15287]]

relating to the beneficial ownership reporting requirements which were 
the subject of FR Doc. 98-1084 is corrected as follows:


Sec. 240.13d-1  [Corrected]

    1. On page 2866, first column, amend the first line in paragraph 
(d) after the words ``Any person who'' to add the words ``, as of the 
end of any calendar year,''.


Sec. 240.13d-101  [Corrected]

    2. On page 2867, third column, second line, ``240.13d-7(b)'' is 
corrected to read ``Rule 13d-7''.
    3. On page 2867, third column, amendment 6a is added preceding 
amendment 7 to read as follows:
    6a. Amend Sec. 240.13d-101 to revise the chart in Instruction (14) 
for Cover Page and in Item 7 revise the reference to ``Rule 13d-1(f) 
(Sec. 240.13d-1(f))'' to read ``Rule 13d-1(k)''.


Sec. 240.13d-101  Schedule 13D--Information to be included in 
statements filed pursuant to Sec. 240.13d-1(a) and amendments thereto 
filed pursuant to Sec. 240.13d-2(a).

* * * * *

Instructions for Cover Page

* * * * *
    (14) Type of Reporting Person * * *

------------------------------------------------------------------------
                  Category                              Symbol          
------------------------------------------------------------------------
Broker Dealer...............................  BD                        
Bank........................................  BK                        
Insurance Company...........................  IC                        
Investment Company..........................  IV                        
Investment Adviser..........................  IA                        
Employee Benefit Plan or Endowment Fund.....  EP                        
Parent Holding Company/Control Person.......  HC                        
Savings Association.........................  SA                        
Church Plan.................................  CP                        
Corporation.................................  CO                        
Partnership.................................  PN                        
Individual..................................  IN                        
Other.......................................  OO                        
------------------------------------------------------------------------

* * * * *


Sec. 240.13d-102  [Corrected]

    4. On page 2867, third column, ``[  ] Rule 13d-(c)'' following the 
text that reads ``Check the appropriate box to designate the rule 
pursuant to which this Schedule is filed;'' is corrected to read ``[  ] 
Rule 13d-1(c)''.
    5. On page 2868, second column, amendment 7a is added preceding 
amendment 8 to read as follows:
    7a. Amend Sec. 240.13d-102 by revising the chart in Instruction 
(12) for Cover Page and revise Item 7 to read as follows:


Sec. 240.13d-102  Schedule 13G--Information to be included in 
statements filed pursuant to Sec. 240.13d-1 (b) and (c) and amendments 
thereto filed pursuant to Sec. 240.13d-2(d).

* * * * *

Instructions for Cover Page

* * * * *
    (12) Type of Reporting Person * * *

------------------------------------------------------------------------
                  Category                              Symbol          
------------------------------------------------------------------------
Broker Dealer...............................  BD                        
Bank........................................  BK                        
Insurance Company...........................  IC                        
Investment Company..........................  IV                        
Investment Adviser..........................  IA                        
Employee Benefit Plan or Endowment Fund.....  EP                        
Parent Holding Company/Control Person.......  HC                        
Savings Association.........................  SA                        
Church Plan.................................  CP                        
Corporation.................................  CO                        
Partnership.................................  PN                        
Individual..................................  IN                        
Other.......................................  OO                        
------------------------------------------------------------------------

* * * * *
    Item 7. Identification and Classification of the Subsidiary Which 
Acquired the Security Being Reported on by the Parent Holding Company 
or Control Person. If a parent holding company or control person has 
filed this schedule pursuant to Rule 13d-1(b)(1)(ii)(G), so indicate 
under Item 3(g) and attach an exhibit stating the identity and the Item 
3 classification of the relevant subsidiary. If a parent holding 
company or control person has filed this schedule pursuant to Rule 13d-
1(c) or Rule 13d-1(d), attach an exhibit stating the identification of 
the relevant subsidiary.
* * * * *
    6. On page 2868, first column, 9th line, ``Rule 13d-1(c)'' is 
corrected to read ``Rule 13d-1(d)''.
    7. On page 2868, first column, Item 3, the last sentence which 
reads ``If this statement is filed pursuant to Sec. 240.13d-1(c), check 
this box. [  ]'' is removed.
    8. On page 2868, second column, Item 8, the reference to ``Item 
3(h)'' in the third line is corrected to read ``Item 3(j)'' and in the 
7th line, ``Sec. 240.13d-1(d)'' is corrected to read ``Rule 13d-1(c) or 
Rule 13d-1(d)''.
    10. On page 2868, second column, in the 4th line of the Note, 
``Sec. 240.13d-7(b)'' is corrected to read ``Rule 13d-7''.

    Dated: March 25, 1998.
Margaret H. McFarland,
Deputy Secretary.
[FR Doc. 98-8315 Filed 3-30-98; 8:45 am]
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