68 Ind. Admin. Code 4-1-7

Current through October 31, 2024

Section 68 IAC 4-1-7 - Reporting requirements

Authority: IC 4-33-4; IC 4-35-4

Affected: IC 4-33; IC 4-35

Sec. 7.

(a) A publicly traded corporation that is a casino licensee, a casino license applicant, or a supplier licensee 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 casino licensee or supplier licensee 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 casino licensee or supplier licensee shall do the following:

(1) File a list of recordholders 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 casino gambling operation or the supplier licensee.

(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 casino licensee, supplier licensee, intermediary, or holding company thereof shall file any other document requested by the commission to ensure compliance with IC 4-33, IC 4-35, or this title within thirty (30) days or any other time established by the commission.

68 IAC 4-1-7

Indiana Gaming Commission; 68 IAC 4-1-7; filed Dec 11, 1995, 4:30 p.m.: 19 IR 1028; readopted filed Dec 1, 2003, 9:45 a.m.: 27 IR 1297; readopted filed Sep 22, 2009, 4:00 p.m.: 20091021-IR-068090475RFA; filed Dec 6, 2012, 2:32 p.m.: 20130102-IR-068110786FRA

Readopted filed 9/19/2018, 4:09 p.m.: 20181017-IR-068180283RFA