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Re: Publication and SEC investigationFor example, why, after 16 months, is there no Form 4 for Jerry J's December 2016 purchase? Technically, the obligation to file Forms 3 and 4, and any Forms 13D and 13G is the responsibility of the holder, and not the company. Virtually all companies have a clerk that reports to the CFO or legal counsel that handles routine filings for officers and board members as a courtesy, but it is not a legal or SEC requirement that they do so. |
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