Securities Lawyer's Deskbook                          published by The University of Cincinnati College of Law

Reports of Directors, Officers, and Principal Shareholders (Rules 16a-1 to 16a-13)

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Rule 16a-1 -- Definition of Terms

Rule 16a-2 -- Persons and Transactions Subject to Section 16

Rule 16a-3 -- Reporting Transactions and Holdings

Rule 16a-4 -- Derivative Securities

Rule 16a-5 -- Odd-Lot Dealers

Rule 16a-6 -- Small Acquisitions

Rule 16a-7 -- Transactions Effected in Connection with a Distribution

Rule 16a-8 -- Trusts

Rule 16a-9 -- Stock Splits, Stock Dividends, and Pro Rata Rights

Rule 16a-10 -- Exemptions Under Section 16(a)

Rule 16a-11 -- Dividend or Interest Reinvestment Plans

Rule 16a-12 -- Domestic Relations Orders

Rule 16a-13 -- Change in Form of Beneficial Ownership

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