17 C.F.R. § 228.703 Purchases of equity securities by the small business issuer and affiliated purchasers.
Title 17 - Commodity and Securities Exchanges
(a) In the following tabular format, provide the information specified in paragraph (b) of this Item with respect to any purchase made by or on behalf of the small business issuer or any “affiliated purchaser,” as defined in §240.10b–18(a)(3) of this chapter, of shares or other units of any class of the small business issuer's equity securities that is registered by the small business issuer pursuant to section 12 of the Exchange Act (15 U.S.C. 781). (b) The table shall include the following information for each class or series of securities for each month included in the period covered by the report: (1) The total number of shares (or units) purchased (column (a));
Instruction to Paragraph (b)(1) of Item 703: Include in this column all small business issuer repurchases, including those made pursuant to publicly announced plans or programs and those not made pursuant to publicly announced plans or programs. Briefly disclose, by footnote to the table, the number of shares purchased other than through a publicly announced plan or program and the nature of the transaction (e.g., whether the purchases were made in open-market transactions, tender offers, in satisfaction of the company's obligations upon exercise of outstanding put options issued by the company, or other transactions). (2) The average price paid per share (or unit) (column (b)); (3) The total number of shares (or units) purchased as part of publicly announced repurchase plans or programs (column (c)); and (4) The maximum number (or approximate dollar value) of shares (or units) that may yet be purchased under the plans or programs (column (d)).
Instructions to paragraphs (b)(3) and (b)(4) of Item 703: 1. In the table, disclose this information in the aggregate for all plans or programs publicly announced. 2. By footnote to the table, indicate: a. The date each plan or program was announced; b. The dollar amount (or share or unit amount) approved; c. The expiration date (if any) of each plan or program; d. Each plan or program that has expired during the period covered by the table; and e. Each plan or program the small business issuer has determined to terminate prior to expiration, or under which the small business issuer does not intend to make further purchases.
Instruction to Item 703: Disclose all purchases covered by this Item, including purchases that do not satisfy the conditions of the safe harbor of §240.10b–18 of this chapter. [68 FR 64968, Nov. 17, 2003]
Title 17: Commodity and Securities Exchanges
PART 228—INTEGRATED DISCLOSURE SYSTEM FOR SMALL BUSINESS ISSUERS
Subpart A—Regulation S-B
§ 228.703 Purchases of equity securities by the small business issuer and affiliated purchasers.
Small Business Issuer Purchases of Equity Securities-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- (d) Maximum number (or approximate dollar value) of shares Period (a) Total number of shares (or units) purchased (b) Average price paid per share (or unit) (c) Total number of shares (or units) purchased as part of (or units) that may yet be purchased under the plans or publicly announced plans or programs programs--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------Month #1 (identify beginning and ending dates).--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------Month #2 (identify beginning and ending dates).--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------Month #3 (identify beginning and ending dates). --------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- Total...................--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
