5% rule - does it apply to OTC?

VANSQUAD's picture
Rank: Orangutan | banana points 260

Could anyone tell me if the 5% threshold (Disclosure of large shareholdings),
applies to OTC shares too or not?

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Comments (3)

Jul 25, 2011

aka Schedule 13D

Jul 25, 2011

of course.

it also applies to indirect ownership, e.g. options/swaps/warrants/etc. for Sched 13D each option may be treated as if Delta = 1, so be careful.

Jul 25, 2011

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