[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]
=======================================================================
-----------------------------------------------------------------------
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.
-----------------------------------------------------------------------
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]
BILLING CODE 8010-01-M