NFG » Topics » OF THE SECURITIES AND EXCHANGE ACT OF 1934

These excerpts taken from the NFG 10-K filed Nov 26, 2008.
OF THE SECURITIES EXCHANGE ACT OF 1934
 
For the Fiscal Year Ended September 30, 2008
 
  o  TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d)
OF THE SECURITIES EXCHANGE ACT
OF 1934



 



For the Transition Period
from          
to          



 



Commission File Number 1-3880


 



This excerpt taken from the NFG 10-K filed Nov 29, 2007.
OF THE SECURITIES EXCHANGE ACT OF 1934
 
For the Fiscal Year Ended September 30, 2007
 
  o  TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d)
This excerpt taken from the NFG 10-K filed Dec 8, 2006.
OF THE SECURITIES EXCHANGE ACT OF 1934
 
For the Fiscal Year Ended September 30, 2006
 
  o  TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d)
This excerpt taken from the NFG DEF 14A filed Jan 6, 2005.
OF THE SECURITIES AND EXCHANGE ACT OF 1934

      Section 16(a) of the Securities Exchange Act of 1934 requires the Company’s directors and officers, and persons who own more than 10% of a registered class of the Company’s equity securities, to file reports of ownership and changes in ownership with the SEC and the NYSE. Directors, officers and greater-than 10% stockholders are required by SEC regulation to furnish the Company with copies of all Section 16(a) forms they file. Based solely on review of information furnished to the Company, reports filed through the Company and/or written representations that no Form 5 were required, the Company believes that all Section 16(a) filing requirements applicable to its officers, directors and greater-than 10% beneficial owners were compiled with during fiscal 2004, except as described below.

      On September 3, 2004, director Rolland E. Kidder sold 1500 shares of Company stock. Mr. Kidder had informed the appropriate Company employees of his intention to do so, and instructed them to file the appropriate forms reporting the sale using powers of attorney previously granted. On Mr. Kidder’s behalf, Company employees timely filed at the SEC on September 3, 2004 a Form 144 Notice of Proposed Sale of Securities publicly reporting the proposed sale for purposes of the Securities Act of 1933. However, in the press of unusually heavy activity processing stock option exercises and filing related reports driven by the Company’s stock price reaching a 52-week high that week, Company employees inadvertently failed to file a Form 4 for Mr. Kidder reporting this sale until October 5, 2004.

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