Section 48-39-014 - REPORTS TO INVESTORSAn issuer shall provide a report to investors which meets the following requirements:
014.01 The report shall contain the following information: 014.01A Compensation received by each director and executive officer, including cash compensation earned since the previous report and on an annual basis and any bonuses, stock options, other rights to receive securities of the issuer or any affiliate of the issuer, or other compensation received; and014.01B An analysis by management of the issuer of the business operations and financial condition of the issuer.014.02 The report shall be prepared and delivered no later than forty-five days after the end of each fiscal quarter.014.03 In lieu of delivering a report to each investor, the issuer may post the report on a funding portal, subject to the following: 014.03A The issuer has notified each investor in writing that it intends to post the report on the funding portal, provided such notice contains the following: 014.03A1 The Uniform Resource Locator for the funding portal on which the report will be posted; and014.03A2 A statement that the investor can elect to receive the report in writing, and information as to how the investor can make such election.014.03B The report shall be posted no later than forty-five days after the end of each fiscal quarter;014.03C The report shall remain on the funding portal until the report for the succeeding quarter is posted; and014.03D The issuer shall provide a written copy to any investor who elects to receive a written copy.014.04 A copy of the report shall be filed with the Department no later than forty-five days after the close of each fiscal quarter.48 Neb. Admin. Code, ch. 39, § 014
Adopted effective 5/11/2016.Amended effective 11/25/2018Amended effective 6/13/2022