Or. Admin. Code § 836-024-0115 - Filing of Statements
(1) A
person who is required by ORS
732.430 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 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.
(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, 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, 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.
Notes
Exhibits referenced are available from the agency.
Stat. Auth: ORS 731.244, 732.420, 732.430, 732.435, 732.445, 732.450, 732.455
Stats. Implemented: ORS 732.420 - 732.455
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