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 principal shareholder, partner, trustee, or management official of the company, if both the company and the person own voting securities of the savings and loan 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 savings and loan holding company, other than through a revocable proxy as described in § 238.32(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:§ 238.31