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SEC Filings

SC 13D/A
VINNEMEIER PETER filed this Form SC 13D/A on 11/23/2018
Entire Document
 
Exhibit


http://api.tenkwizard.com/cgi/image?quest=1&rid=23&ipage=12565744&doc=310b5-1 Preset Diversification Program® (PDP)  

Table of Contents

Part I.    Account and Plan Information. Instructions: To be completed by MSSB and reviewed by the Seller.

Part II.    Trade Schedules.
    
Trade Schedule A – Notice and Authorization of Exercise of Stock Options and Sale of Underlying American Depositary Shares (ADS). Instructions: May not be applicable for some plans. For use by any seller who wishes to sell shares obtained upon the exercise of stock options. When applicable, to be completed by MSSB and reviewed by the Seller. This Trade Schedule will be provided to the Issuer as Notice of the intention to exercise stock options.

Trade Schedule B – Sale of Clean Stock/Control Stock/Restricted Stock Awards or Units or ESPP Stock. Instructions: May not be applicable for some plans. For use by any seller who wishes to sell these types of shares. When applicable, to be completed by MSSB and reviewed by the Seller.

Part III.    Sales Plan Disclosures and Representations. Instructions: The Seller must review and understand these disclosures and representations. The Seller is required to sign the last page of this Part III.

Part IV.    Exhibits.

Exhibit A – Issuer Representation Letter. Instructions: To be reviewed and executed by an authorized representative of the Issuer.

Exhibit B – Seller Representation Letter. Instructions: May not be applicable for some plans. To be reviewed and executed only by those sellers required to sell shares pursuant to Rule 144.

 
 
 
Document
 
To Be Signed By
Part I
 
Account and Plan Information
 
N/A
Part II
Trade Schedule A
Notice and Authorization of Exercise of Stock Options and Sale of Underlying ADS
 
N/A
Part II
Trade Schedule B
Sale of Clean Stock/Control Stock/Restricted Stock Awards or Units or ESPP Stock
 
N/A
Part III
 
Sales Plan Disclosures and Representations
 
Seller and MSSB
Part IV
Exhibit A
Issuer Representation Letter
 
Issuer
Part IV
Exhibit B
Seller Representation Letter
 
Seller, if applicable

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