Transactions requiring prior notice.

CFR · 2024-01-01 · US · Title 12

(a) (b) (1) (2) (3) (c) (2) (i) The institution has registered securities under section 12 of the Securities Exchange Act of 1934 (15 U.S.C. 78l); or (ii) No other person will own, control, or hold the power to vote a greater percentage of that class of voting securities immediately after the transaction. (d) (1) A company and any controlling shareholder, partner, trustee, or management official of the company, if both the company and the person own voting securities of the state member bank or bank holding company; (2) An individual and the individual's immediate family; (3) Companies under common control; (4) Persons that are parties to any agreement, contract, understanding, relationship, or other arrangement, whether written or otherwise, regarding the acquisition, voting, or transfer of control of voting securities of a state member bank or bank holding company, other than through a revocable proxy as described in § 225.42(a)(5) of this subpart; (5) Persons that have made, or propose to make, a joint filing under sections 13 or 14 of the Securities Exchange Act of 1934 (15 U.S.C. 78m or 78n), and the rules promulgated thereunder by the Securities and Exchange Commission; and (6) A person and any trust for which the person serves as trustee. (e) (f) (g)

official document · source cfr-2024 · id 12:§ 225.41