Corporations Keyed to Hamilton
Securities and Exchange Comm
Respondent has facilities scattered throughout the nation staffed by 7,000 employees. The company has a policy of encouraging stock ownership among its employees. Selling nearly $2,000,000 of stock to them without registration. The company offers stock to “key employees.” This characterization is not based on an organization chart. It includes an individual eligible for promotion, one who influences others, whom the employees look to in a special way, or who is sympathetic to management among other factors. The Securities and Exchange Commission brought this complaint seeking to enjoin Respondent’s unregistered offerings. The District Court held the exemption applicable and dismissed the suit. The Court of Appeals affirmed.
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