OAR 836-024-0115
Filing of Statements

(1)

A person who is required by ORS 732.430 (Filing statement of security ownership with director) to file a statement of beneficial ownership of equity securities shall file the initial statement on Form 3, which is prescribed in Exhibit 1 to this rule. A person who is required by ORS 732.430 (Filing statement of security ownership with director) to file a statement of change in beneficial ownership shall file the statement of change on Form 4, which is prescribed in Exhibit 2 to this rule.

(2)

A director or officer who is required to file a statement of change on Form 4 shall include in the first statement of change the information required by Form 4 with respect to all changes in the beneficial ownership of equity securities of the insurer that occurred within six months prior to the date of the changes that required the filing of the statement, when a change occurs in the director’s or officer’s beneficial ownership of equity securities:

(a)

Within six months after the director or officer became a director or officer of the insurer; or

(b)

Within six months after a statement relating to the equity securities of the insurer has been filed with the Director, pursuant to ORS 732.430 (Filing statement of security ownership with director).

(3)

A person who has ceased to be a director or officer of an insurer that has equity securities for which a statement is filed under ORS 732.430 (Filing statement of security ownership with director), or who is a director or officer of an insurer when the insurer ceased to have any equity securities for which a statement is filed under ORS 732.430 (Filing statement of security ownership with director), shall file a statement on Form 4 with respect to any change in the person’s beneficial ownership of equity securities of the insurer if the change occurs:

(a)

On or after the date on which the person ceased to be a director or officer or the date on which the insurer ceased to have any such equity securities, as the case may be; and

(b)

Within six months after any change in the beneficial ownership of the securities prior to the date in subsection (a) of this section.
[ED. NOTE: Exhibits referenced are available from the agency.]

Source: Rule 836-024-0115 — Filing of Statements, https://secure.­sos.­state.­or.­us/oard/view.­action?ruleNumber=836-024-0115.

836‑024‑0003
Statutory Authority 836‑024‑0004
Application of OAR 836-024-0003 to 836-024-0055 836‑024‑0006
Definitions 836‑024‑0008
Solicitations to which OAR 836-024-0003 to 836-024-0055 Apply 836‑024‑0026
Information to Be Furnished to Security Holders 836‑024‑0031
Requirements as to Proxy 836‑024‑0033
Presentation of Information in Proxy Statement 836‑024‑0036
Material Required to Be Filed 836‑024‑0038
Mailing Communications for Security Holders 836‑024‑0039
Proposals of Security Holders 836‑024‑0041
False or Misleading Statements 836‑024‑0046
Prohibition of Certain Solicitations 836‑024‑0051
Special Provisions Applicable to Election Contests 836‑024‑0053
Filings Required in an Election Contest 836‑024‑0054
Counter Solicitations Prior to Furnishing Required Written Proxy Statement 836‑024‑0055
Filing Requirements for Preliminary Solicitation Material 836‑024‑0100
Statutory authority 836‑024‑0105
Definitions 836‑024‑0110
Securities “Held of Record” for Purpose of ORS 732.425 836‑024‑0115
Filing of Statements 836‑024‑0120
Ownership of more than 10 percent of an equity security 836‑024‑0125
Disclaimer of Beneficial Ownership 836‑024‑0130
Exemptions from ORS 732.430 and 732.435 836‑024‑0135
Exemptions from ORS 732.420 to 732.455 of Securities Purchased or Sold by Odd-lot Dealers 836‑024‑0140
Certain Transactions Subject to ORS 732.430 836‑024‑0145
Ownership of Securities Held in Trust 836‑024‑0150
Exemption for Small Transactions 836‑024‑0155
Exemption from ORS 732.435 That Need not be Reported Under ORS 732.430 836‑024‑0160
Exemption from ORS 732.435 of Certain Transactions Effected in Connection with a Distribution 836‑024‑0165
Exemption from ORS 732.435 of Acquisitions of Shares of Stock and Stock Options under Certain Stock Bonus, Stock Option or Similar plans 836‑024‑0170
Exemption from ORS 732.435 of Certain Transactions in Which Securities are Received by Redeeming other Securities 836‑024‑0175
Exemption of long Term Profits Incident to Sales Within Six Months of the Exercise of an Option 836‑024‑0180
Exemption from ORS 732.435 of Certain Acquisitions and Dispositions of Securities Pursuant to Merger or Consolidation 836‑024‑0185
Exemption from ORS 732.435 of Transactions Involving the Deposit or Withdrawal of Equity Securities Under a Voting Trust or Deposit Agreement 836‑024‑0190
Exemption from ORS 732.435 of Certain Transactions Involving the Conversion of Equity Securities 836‑024‑0200
Exemption from ORS 732.435 of Certain Transactions Involving the Sale of Subscription Rights 836‑024‑0205
Exemption of Certain Securities from ORS 732.440 836‑024‑0210
Exemption from ORS 732.440 of Certain Transactions Effected in Connection with a Distribution 836‑024‑0215
Exemption from ORS 732.440 of Sales of Securities to be Acquired 836‑024‑0220
Arbitrage Transactions under ORS 732.450
Last Updated

Jun. 8, 2021

Rule 836-024-0115’s source at or​.us