Pennsylvania Code
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COMMONWEALTH OF PENNSYLVANIA

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The Pennsylvania Code website reflects the Pennsylvania Code changes effective through 54 Pa.B. 1032 (February 24, 2024).

31 Pa. Code § 21.100. Nature of ownership.

§ 21.100. Nature of ownership.

 (a)  Under ‘‘Nature of Ownership’’ on the form, it shall be stated whether ownership of the securities is ‘‘direct’’ or ‘‘indirect.’’

 (b)  If the ownership is indirect, that is, through a partnership, corporation, trust, or other entity, the name or identity of the medium through which the securities are indirectly owned shall be indicated, in a footnote or some other appropriate manner.

 (c)  The fact that securities are held in the name of a broker or other nominee does not of itself constitute indirect ownership.

 (d)  Securities owned indirectly shall be reported on separate lines from those owned directly and from those owned through a different type of indirect ownership.


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