Domestic Stock Insurance Companies–Insider Trading of Equity Securities | Midpage

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Indiana Administrative Code

Rule 12

Domestic Stock Insurance Companies–Insider Trading of Equity Securities

Department of Insurance

1Authority to promulgate rule; purpose of rule 2Definitions 3Exempt transactions 4Beneficial ownership statements; forms 5Determination of percentage of class of equity securities owned 6Disclaimer of beneficial ownership 7Exemption of securities held by fiduciary or for account of insurer; reports 8Exemption of securities purchased or sold by odd-lot dealers 9Change in beneficial ownership 10Ownership of securities held in trust 11Exemption of small transactions 12Exemption from IC 27-2-10-2 of transactions exempt from reporting requirements 13Exemption from IC 27-2-10-2 of transactions connected with a distribution 14Exemption from IC 27-2-10-2 of acquisitions under stock bonus or stock option plans 15Exemption from IC 27-2-10-2 of redemption transactions 16Exemption from IC 27-2-10-2 of long term profits incident to sales within six months of the exercise of an option 17Exemption from IC 27-2-10-2 of acquisitions and dispositions pursuant to merger or consolidation 18Exemption from IC 27-2-10-2 of deposits or withdrawals under a voting trust or deposit agreement 19Exemption from IC 27-2-10-2 of conversion transactions 20Exemption from IC 27-2-10-2 of certain transactions involving the sale of subscription rights 21Exemption from IC 27-2-10-3 of transactions by disinterested broker 22Exemption from IC 27-2-10-3 of transactions related to a distribution 23Exemption from IC 27-2-10-3 of sales of securities to be acquired 24Arbitrage transactions by director or officer of insurer