(a) Notwithstanding the provisions of § 240.14a-3(a) , a solicitation may be made before furnishing security holders with a proxy statement meeting the requirements of § 240.14a-3(a) if: (1) Each written communication includes: (i) The identity of the participants in the solicitation (as defined in Instruction 3 to Item 4 of Schedule 14A (§ 240.14a-101 ) ) and a description of their direct or indirect interests, by security holdings or otherwise, or a prominent legend in clear, plain language advising
(a) All written communications made in reliance on § 230.165 are prospectuses that must be filed with the Commission under this section on the date of first use. (b) All written communications that contain no more information than that specified in § 230.135 must be filed with the Commission on or before the date of first use except as provided in paragraph (d)(1) of this section. A communication limited to the information specified in § 230.135 will not be deemed an offer in accordance with § 230