CPWR » Topics » Section 16(a) Beneficial Ownership Reporting Compliance

This excerpt taken from the CPWR DEF 14A filed Jul 15, 2009.
Section 16(a) Beneficial Ownership Reporting Compliance
 
Section 16(a) of the Securities Exchange Act of 1934 requires our directors and executive officers, and persons who own more than 10 percent of a registered class of our equity securities, to file with the SEC initial reports of ownership and reports of changes in ownership of our common shares and other equity securities. Officers, directors and greater-than-10 percent shareholders are required by SEC regulations to furnish us with copies of all Section 16(a) reports they file.
 
To our knowledge, based solely on our review of the copies of such reports furnished to us during or with respect to fiscal 2009, or written representations that no Form 5 was required, we believe that all Section 16(a) filing requirements applicable to our officers, directors and greater than 10 percent beneficial owners were met during fiscal 2009, with the exception of the following late filings: (1) one late Form 4 filed by Mr. Grabe to report the grant of Deferred Compensation Units and (2) one late Form 5 filed by Mr. Karmanos to report the correction of two erroneously reported 1999 transactions.


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This excerpt taken from the CPWR DEF 14A filed Jul 16, 2008.
Section 16(a) Beneficial Ownership Reporting Compliance
 
Section 16(a) of the Securities Exchange Act of 1934 requires our directors and executive officers, and persons who own more than 10 percent of a registered class of our equity securities, to file with the SEC initial reports of ownership and reports of changes in ownership of our common shares and other equity securities. Officers, directors and greater-than-10 percent shareholders are required by SEC regulations to furnish us with copies of all Section 16(a) reports they file.
 
To our knowledge, based solely on our review of the copies of such reports furnished to us during or with respect to fiscal 2008, or written representations that no Form 5 was required, we believe that all Section 16(a) filing requirements applicable to our officers, directors and greater than 10 percent beneficial owners were met during fiscal 2008.
 
This excerpt taken from the CPWR DEF 14A filed Jul 24, 2007.
Section 16(a) Beneficial Ownership Reporting Compliance
 
Section 16(a) of the Securities Exchange Act of 1934 requires our directors and executive officers, and persons who own more than 10 percent of a registered class of our equity securities, to file with the SEC initial reports of ownership and reports of changes in ownership of our common shares and other equity securities. Officers, directors and greater-than-10 percent shareholders are required by SEC regulations to furnish us with copies of all Section 16(a) reports they file.
 
To our knowledge, based solely on our review of the copies of such reports furnished to us during or with respect to fiscal 2007, or written representations that no Form 5 was required, we believe that all Section 16(a) filing requirements applicable to our officers, directors and greater than 10 percent beneficial owners were met during fiscal 2007.
 
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