包子求答案：怎么知道某公司是否执行了股票回购计划？# Stock
s*l
1 楼
经常有公司宣布要回购股票以提高股东利益，通常都是事先宣布，我想知道如果执行了
回购计划，公司是不是应该填写什么表格上报SEC？宣布的时候又是什么表格？
回购计划，公司是不是应该填写什么表格上报SEC？宣布的时候又是什么表格？
U*f
2 楼
http://www.blankrome.com/index.cfm?contentID=37&itemID=495
According to SEC Rule 10b-18:
One Broker-dealer per Day: The company repurchasing shares may not use more
than one broker or dealer to acquire the shares per each day.
Timing of Purchase: A repurchase may not be the first trade of the day.
Repurchases cannot be made in the last 10 minutes of the trading day, or 30
minutes if the company's ADTV is less than $1 million and has a public float
of less than $150 million. These rules do not apply to over-the-counter
securities, which are not traded on the NYSE or Nasdaq.
Purchase Price: A repurchase may not be bid at a price higher than the
highest independent bid or last price of the last trade.
Volume: Repurchases per day may not exceed 25% of the average daily volume
of the previous 4 calendar weeks. Block purchases not effected by a broker-
dealer are excluded from this restriction
买了以后在10-K或10-Q的BALANCE SHEET 中的TREASURY STOCK中有显示，而且在NOTE里
有很详细的说明。
【在 s****l 的大作中提到】
: 经常有公司宣布要回购股票以提高股东利益，通常都是事先宣布，我想知道如果执行了
: 回购计划，公司是不是应该填写什么表格上报SEC？宣布的时候又是什么表格？
According to SEC Rule 10b-18:
One Broker-dealer per Day: The company repurchasing shares may not use more
than one broker or dealer to acquire the shares per each day.
Timing of Purchase: A repurchase may not be the first trade of the day.
Repurchases cannot be made in the last 10 minutes of the trading day, or 30
minutes if the company's ADTV is less than $1 million and has a public float
of less than $150 million. These rules do not apply to over-the-counter
securities, which are not traded on the NYSE or Nasdaq.
Purchase Price: A repurchase may not be bid at a price higher than the
highest independent bid or last price of the last trade.
Volume: Repurchases per day may not exceed 25% of the average daily volume
of the previous 4 calendar weeks. Block purchases not effected by a broker-
dealer are excluded from this restriction
买了以后在10-K或10-Q的BALANCE SHEET 中的TREASURY STOCK中有显示，而且在NOTE里
有很详细的说明。
【在 s****l 的大作中提到】
: 经常有公司宣布要回购股票以提高股东利益，通常都是事先宣布，我想知道如果执行了
: 回购计划，公司是不是应该填写什么表格上报SEC？宣布的时候又是什么表格？
s*l
3 楼
thanks. baozi sent.
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