SURG » Topics » COMPLIANCE WITH SECTION 16(a) OF THE SECURITIES AND EXCHANGE ACT

This excerpt taken from the SURG DEF 14A filed Nov 13, 2007.
COMPLIANCE WITH SECTION 16(a) OF THE SECURITIES AND EXCHANGE ACT
 
Section 16(a) of the Exchange Act requires the Company’s directors and executive officers, and persons who own more than 10% of a registered class of the Company’s equity securities, to file reports of ownership of, and transactions in, the Company’s securities with the SEC and The NASDAQ Stock Market. Such directors, executive officers and 10% stockholders are also required to furnish the Company with copies of all Section 16(a) forms they file.
 
Based solely upon a review of reports furnished to the Company, and on written representations from certain reporting persons, the Company believes that, with respect to the fiscal year ended July 31, 2007, each director, executive officer and 10% stockholder of the Company’s securities made timely filings of all reports required by Section 16 of the Exchange Act, except as follows: Messrs. Cardinale and Guarch each filed a late Form 4 reporting their grants of stock options pursuant to the 2005 Non-Employee Directors’ Stock Option Plan (Mr. Cardinale’s Form 4 was filed on November 7, 2007 for awards granted on November 30, 2006; and Mr. Guarch’s Form 4 was filed on November 7, 2007 for awards granted on November 30, 2006). Mr. Scheller filed a late Form 4 on June 14, 2007 for awards granted on March 30, 2007. Ms. Boone filed a late Form 4 on November 6, 2007 reporting her grant of restricted stock options on August 1, 2007.
 
This excerpt taken from the SURG DEF 14A filed Oct 30, 2006.
COMPLIANCE WITH SECTION 16(a) OF THE SECURITIES AND EXCHANGE ACT
 
Section 16(a) of the Exchange Act requires the Company’s directors and executive officers, and persons who own more than 10% of a registered class of the Company’s equity securities, to file reports of ownership of, and transactions in, the Company’s securities with the SEC and The Nasdaq Stock Market. Such directors, executive officers and 10% stockholders are also required to furnish the Company with copies of all Section 16(a) forms they file.
 
Based solely upon a review of reports furnished to the Company, and on written representations from certain reporting persons, the Company believes that, with respect to the fiscal year ended July 31, 2006, each director, executive officer and 10% stockholder of the Company’s securities made timely filings of all reports required by Section 16 of the Exchange Act, except as follows: Messrs. Cardinale, Dick and Guarch and Ms. Hinshaw each filed a late Form 4 reporting their grants of stock options pursuant to the 2005 Non-Employee Directors’ Stock Option Plan (Mr. Cardinale’s Form 4 was filed on November 14, 2005 for awards granted on September 22, 2005; Mr. Dick’s Form 4 was filed on May 3, 2006 for awards granted on September 20, 2005; Mr. Guarch’s Form 4 was filed on November 4, 2005 for awards granted on September 20, 2005; Ms. Hinshaw’s Form 4 was filed on November 4, 2005 for awards granted on September 22, 2005). Mr. Cardinale filed a late Form 4 on October 20, 2006 for a distribution of shares on November 3, 2005. Ms. Boone filed a late Form 4 on May 3, 2006 reporting her grant of restricted stock options on March 7, 2006.
 

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Medical Action Industries (MDCI)
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