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Delivery of documents to security holders sharing an address
Overview
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SEC
rules and state statutes facilitate householding
- Allow delivery of a single notice or document to
stockholders sharing a single address
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Item 23 Requirements
Item
23
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Delivery of documents to security holders sharing an address.
If one annual report to security holders, proxy statement, or
Notice of Internet Availability of Proxy Materials is being delivered to two or
more security holders who share an address in accordance with 240.14a3(e)(1),
furnish the following information:
- (a) State that only one annual report to
security holders, proxy statement, or Notice of Internet Availability of Proxy
Materials, as applicable, is being delivered to multiple security holders
sharing an address unless the registrant has received contrary instructions from
one or more of the security holders;
- (b) Undertake to deliver promptly upon
written or oral request a separate copy of the annual report to security
holders, proxy statement, or Notice of Internet Availability of Proxy Materials,
as applicable, to a security holder at a shared address to which a single copy
of the documents was delivered and provide instructions as to how a security
holder can notify the registrant that the security holder wishes to receive a
separate copy of an annual report to security holders, proxy statement, or
Notice of Internet Availability of Proxy Materials, as applicable;
- (c) Provide the phone number and mailing
address to which a security holder can direct a notification to the registrant
that the security holder wishes to receive a separate annual report to security
holders, proxy statement, or Notice of Internet Availability of Proxy Materials,
as applicable, in the future; and
- (d) Provide instructions how security
holders sharing an address can request delivery of a single copy of annual
reports to security holders, proxy statements, or Notices of Internet
Availability of Proxy Materials if they are receiving multiple copies of annual
reports to security holders, proxy statements, or Notices of Internet
Availability of Proxy Materials.
- 51 FR 42063, 11.20.86; 51 FR 45576, 12.19.86
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SEC FAQs
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Telephone
Manual
- July 1997 §N Proxy Rules and
Schedule 14A #5
- March 1999 Supplement Proxy Rules and
Schedule 14A
- July 2001 Supplement §I.D Rule
14a-12
- Sept 2004 Supplement Re:
Unbundling
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SEC Rules
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Rule
154 Delivery of prospectus
Rule 14a-3(e)(1)
Delivery of annual reports
Rule 14c-3(c)
Delivery of annual reports
Rule
30d-1 Management company reports
Rule
30d-2 Unit investment trust reports
SEC
Releases
Schedule 14A Item 23
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State Statutes Notices
SEC_CODE_REF_0090001192884
Selected Precedent Disclosures
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Prominent
filers - 2007
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Complete Schedule 14A
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Online
versions
Paper
versions
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