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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549FORM 8K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: December 8, 2016Willis

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How to fill out company rule 10b5-1 trading

01

Filling out company rule 10b5-1 trading requires the following steps:

02

Begin by understanding the purpose and requirements of rule 10b5-1 trading.

03

Gather relevant information such as the company's trading policy, insider trading regulations, and any specific guidelines provided by legal or compliance teams.

04

Identify the specific conditions and parameters under which you will be conducting 10b5-1 trading. This may include predetermined dates, trading limits, or restrictions.

05

Consult with legal or compliance teams to ensure that your proposed rule 10b5-1 trading plan meets all necessary legal and regulatory criteria.

06

Prepare a written trading plan that outlines your intentions and strategies for executing trades under rule 10b5-1. This should include details such as the specific securities to be traded, the timing of trades, and any relevant financial information.

07

Submit the trading plan for review and approval. This may involve seeking approval from relevant company stakeholders or compliance teams.

08

Once the plan is approved, ensure that you adhere to its conditions and parameters when executing trades. Any deviations from the plan should be carefully documented and justified.

09

Regularly review and reassess your trading plan to ensure that it remains compliant with changing legal or regulatory requirements.

10

Keep detailed records of all transactions conducted under rule 10b5-1 trading. This includes the date, time, securities traded, and any supporting documentation.

11

Stay informed about any updates or changes to company rule 10b5-1 trading policies or regulations, and adjust your trading activities accordingly.

Who needs company rule 10b5-1 trading?

01

Company rule 10b5-1 trading is primarily intended for individuals who may possess material nonpublic information about a company and want to execute trades in compliance with insider trading regulations.

02

The following individuals may need company rule 10b5-1 trading:

03

- Executives or insiders of publicly traded companies

04

- Directors or board members of publicly traded companies

05

- Employees who have access to material nonpublic information

06

- Any individual who wants to trade company securities but needs to ensure compliance with insider trading regulations.

07

It is essential to consult with legal or compliance teams to determine if rule 10b5-1 trading is necessary and appropriate for specific individuals.

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What is company rule 10b5-1 trading?

Company rule 10b5-1 trading is a trading plan established by an insider of a publicly traded company in accordance with U.S. Securities and Exchange Commission (SEC) Rule 10b5-1.

Who is required to file company rule 10b5-1 trading?

Corporate insiders, such as executives, directors, and large shareholders, are required to file company rule 10b5-1 trading.

How to fill out company rule 10b5-1 trading?

Company rule 10b5-1 trading should be filled out by disclosing the terms of the trading plan, including the amounts, prices, and dates of the planned transactions.

What is the purpose of company rule 10b5-1 trading?

The purpose of company rule 10b5-1 trading is to provide a legal defense against insider trading allegations by enabling insiders to trade in their company's stock at predetermined times.

What information must be reported on company rule 10b5-1 trading?

Company rule 10b5-1 trading requires reporting of all planned transactions, including the number of shares, the price range, and the specific dates or triggers for the trades.

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