QUICK LINKS
RS Definition
RS Information
RS Flow Chart
Selling RS
Control Person
Seller's Letter
Form 144
Affiliate
RS Legend
Changes in Law
Reference Books
Donating RS
Accredited Investor
Related Links
History of Securities
History of NYSE
Sponsored Sites
RESTRICTED STOCK
IMPORTANT DISCLAIMER
Restricted Stock, sometimes referred to as "Letter Stock," "Legend Stock," "144 Stock," and "Restricted Securities," is unique due to its limitations when it comes to sales, resales, gifting and other transactions. Additionally, while there are books and reference materials available, seldom is it available in one location.
This site was created to address this problem. Here Restricted Stock owners and their advisors have a central depository of information regarding many of the important aspects needed to make decisions regarding Restricted Stock. While the information presented is not intended as legal advice we hope the material will prove useful. However, we encourage readers to consult with their legal counsel before making any final decisions related to Restricted Stock.
Finally, the authors of this site have made two important decisions that impact the information provided. First, there is no hidden agenda. The information is provided as a public service. Secondly, the site is somewhat of a throwback to a simpler time when information was available without all the pop-up windows, cumbersome flash videos, and clutter from too many ads. We hope you appreciate our effort and style.
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Click on title below for additional information
RESTRICTED STOCK DEFINITION - A definition of Rule 144 Restricted Stock
UNDERSTANDING RESTRICTED STOCK - Restricted Stock issues of importance
RESTRICTED STOCK FLOW CHART - A quick reference decision chart related to selling Restricted Stock
SELLING RESTRICTED STOCK - An outline of the process of selling Restricted Stock
DEFINITION OF A CONTROL PERSON - The criteria used to determine who is a "control person"
RESTRICTED STOCK SELLER'S LETTER - An example of a Seller's Letter required by the SEC
FORM 144 FROM THE SEC - The official Form 144 required in order to sell Restricted Stock
DEFINITION OF AN AFFILIATE - Definition of who is considered an "Affiliate" of a public corporation
REMOVING A RESTRICTED STOCK LEGEND - Key information regarding removing a RS legend
CHANGES IN THE SECURITIES ACT & RULE 144 - The most recent changes in Restricted Stock law
REFERENCE BOOKS ON RESTRICTED STOCK - Books that discuss elements related to Restricted Stock
STRATEGIES WHEN DONATING RESTRICTED STOCK - Using Restricted Stock as a donative tool
DEFINITION OF AN ACCREDITED INVESTOR - Federal guidelines for an "Accredited" investor
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Securities and Exchange Commission
Rule 144
Rule 145
Rule 144A
Insider Trading
Section 16 Related Rules
Restricted Stock Options
Restricted Stock Services
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A BRIEF HISTORY OF SECURITIES REGULATIONS
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A BRIEF HISTORY OF THE NEW YORK STOCK EXCHANGE
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OTHER SITES SPONSORED BY THE AUTHORS
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Securities and Investment SITE
The S&I site has been designed to provide a simple, quick reference guide to securities and investment information. In addition, the site provides commentary on the strategy of investing, answers to the most commonly asked questions submitted by investors, and basic educational material on various investment vehicles and products.
Designed as a site without a political or religious agenda the Charitable Gift-Giving site provides both donors and recipients of donations with valuable information including descriptions of various donation programs, including those geared toward owners of Restricted Stock. The site also provides commentary on gift-giving methodology and links to sites that help donors choose charities and avoid scams.
West River Holding is a privately held organization in the process of developing a series of financially engineered Private Placement Offerings designed to offer potential investors an opportunity to invest in a group of high profit projects at a substantially reduced risk. Designed only for "Accredited" investors who possess Rule 144 Restricted Stock, the planned offerings hope to provide mathematically certain returns of principal and growth components that are unrelated to the projects themselves, while still enabling investors to participate in the profits and revenues of the underlying West River projects. Parts of this site will be password protected and will require verification of the potential investor's status as an "Accredited" investor.
Copyright 2010
LaSalle Risk Management - West River Holdings