68 Ind. Admin. Code 27-2-14

Current through November 6, 2024

Section 68 IAC 27-2-14 - Reporting of interest in a license

Authority: IC 4-38-1-4; IC 4-38-3-1

Affected: IC 4-33; IC 4-35; IC 4-38

Sec. 14.

(a) A publicly traded corporation that is a sports wagering operator or applicant that files:

(1) Form 13-G;

(2) Form 4;

(3) Form 10;

(4) Form 10-Q;

(5) Form 10-K;

(6) Form 8-K;

(7) Form 1-A;

(8) Registration Statement S-1;

(9) Registration Statement SB-2;

(10) Registration Statement 10-SB;

(11) Report 10-KSB;

(12) Report 10-QSB;

(13) Schedule 13e-3;

(14) Schedule 14D-9; or

(15) any filing required by Rule 14f-1 promulgated under the Securities Exchange Act of 1934 ( 15 U.S.C. 78a et seq.); shall notify the directors of background and financial investigations for the commission within ten (10) business days of filing the document with the Securities and Exchange Commission.

(b) A publicly traded corporation that is a sports wagering operator that receives any material document filed with the Securities and Exchange Commission by any other person relating to the publicly traded corporation shall, within ten (10) business days following receipt, file one (1) copy of the document with the commission.

(c) A publicly traded corporation that is a sports wagering operator shall do the following:

(1) File a list of record holders and beneficial owners of its voting securities with the commission annually.

(2) Report to the commission the election or appointment of any director, executive officer, or any other officer of the licensee, holding company, or intermediary company thereof who is actively and directly engaged in the administration or supervision of the sports wagering operator.

(3) Advise the commission, in writing, that a key person or substantial owner of the publicly traded corporation has disposed of any of the publicly traded corporation's voting securities by the fifteenth day of the month following the transaction.

(d) A sports wagering operator, intermediary, or holding company thereof shall file any other document requested by the commission to ensure compliance with IC 4-33, IC 4-35, IC 4-38, or this article within thirty (30) days or any other time established by the commission.

68 IAC 27-2-14

Indiana Gaming Commission; 68 IAC 27-2-14; filed 6/25/2021, 2:59 p.m.: 20210721-IR-068200420FRA