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Director, Officer, and 5% Stockholder Questionnaire (NASDAQ Company)

Book Publication Date: Sep 2011
Description: Sample questionnaire for disclosure of certain information concerning the directors, officers, and 5% stockholders of a company planning an IPO with NASDAQ
Type: Questionnaires
PLI Item #: 41194
Practice Area: Corporate law, Securities and other financial products

Keywords: "Director, Officer, and 5% Stockholder Questionnaire (NASDAQ Company)"; IPO; "Form S-1"; FINRA; stock ownership; "beneficiary of trust"; public corporation; "voting or investment power"; "disclaim beneficial ownership"; stock ownership, voting agreements, changes in control; family members and related entities; adverse interest; marketing arrangements; principal qualifications; directors' backgrounds

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