How to File Form 8-Ks for Regulation BTR “Blackout Periods”

The SEC has a little-known regulation – Regulation BTR – that prohibits directors and officers from trading in a company’s stock which were acquired in connection in their company capacity if a certain number of participants in the company’s benefit plans are also prohibited from trading in the company’s stock because of a plan blackout.

Item 5.04 of Form 8-K requires a 8-K filing if the company suspends trading under its employee benefit plans.

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