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Guidance Note 11Issued: March 2002 Key topics 1. 2. 3. 4. 5. 6. 7. 8. 9. Restricted securities ASX discretion in relation to restricted securities Cash formula Change of activities Transfer of restricted securities Relief

How to fill out restricted securities

How to fill out restricted securities:

1. Obtain the necessary forms: Begin by acquiring the appropriate forms to fill out restricted securities. Typically, this would involve obtaining a Restricted Securities Notice, which is a document that outlines the terms and conditions of the restrictions placed on the securities.
2. Provide relevant information: Fill out the required fields on the Restricted Securities Notice accurately. This may include details about the securities being restricted, such as the name of the issuer, the type and class of securities being restricted, and any identification numbers associated with the securities.
3. Specify the reason for restriction: Clearly state the reason why the securities are being restricted. This could be due to legal requirements, contractual agreements, or regulatory obligations. Provide any supporting documentation or references related to the restriction.
4. Include details of the restrictive period: Indicate the duration of the restriction period, which is the timeframe during which the securities cannot be freely traded or transferred. This may vary depending on the specific circumstances and applicable regulations.
5. Attach necessary documentation: Attach any supplementary documents that support the restricted securities filing. This might include legal agreements, lock-up agreements, or investor consent forms, depending on the nature of the restriction.

Who needs restricted securities:

1. Company insiders: Individuals who hold positions within a company, such as directors, officers, or major shareholders, may need to be aware of and handle restricted securities. This is to ensure compliance with regulations regarding insider trading and to prevent market manipulation.
2. Employees with stock grants or options: Employees who are granted stock or stock options as part of their compensation packages may be subject to restrictions on selling or transferring those securities. These restrictions are typically imposed to align employee incentives with the company's long-term goals or to abide by applicable securities laws.
3. Investors participating in private placements: Investors who participate in private placements, such as venture capital funds or angel investors, may acquire restricted securities. These securities are often subject to restrictions to comply with securities laws and to prevent immediate resale in the public market.

Remember to consult legal and financial professionals for specific guidance regarding the filling out of restricted securities and to understand the applicable regulations in your jurisdiction.

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What is restricted securities?

Restricted securities are securities that cannot be freely sold or transferred because they have limitations on their resale.

Who is required to file restricted securities?

The issuer of the restricted securities is required to file with the appropriate regulatory authorities.

How to fill out restricted securities?

Restricted securities are typically reported by filing a Form D with the Securities and Exchange Commission.

What is the purpose of restricted securities?

The purpose of restricted securities is to prevent insider trading and to protect investors from potential fraud.

What information must be reported on restricted securities?

Information such as the identity of the issuer, the nature of the ownership restrictions, and the exemptions being claimed must be reported on restricted securities.