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The purpose of this paper is to provide investment advisers, broker dealers, individual investors and other securities firms with a current and detailed summary of the reporting regime under Sections 13 and 16 of the Securities Exchange Act of 1934 (the “Exchange Act”) and guidance on how to comply with the disclosure requirements of the U.S. Securities and Exchange Commission (the “SEC”) on Schedule 13D, Schedule 13G, Form 13F, Form 13H and Forms 3, 4 and 5.

The approach of this paper discusses the transactions or beneficial ownership interests in securities that trigger a reporting requirement under Section 13 and/or Section 16 of the Exchange Act, identifies the person or persons that have the obligation to file reports with the SEC, details the information required to be disclosed in the publicly available reports, and explains certain trading restrictions imposed on reporting persons as well as the potential adverse consequences of filing late or failing to make the requisite disclosures to the SEC.

The SEC continues to provide updated guidance on the disclosure requirements under Sections 13 and 16 of the Exchange Act, which individual investors and securities firms – largely insiders – must take into account when filing any new or amended reports on Schedule 13D, Schedule 13G, Form 13F, Form 13H and Forms 3, 4 and 5.

This article provides expert analysis and guidance from experienced securities lawyers.

This paper presents the complete findings from the Academic Reading Format International Study (ARFIS), the world's largest study of tertiary students' format preferences and behaviors. The analysis of ARFIS proceeded in two stages. This paper reveals results from the second stage for the first time and compares them with the earlier results. The authors then present and discuss the results from the combined datasets of 21,266 students in 33 countries.

A total of 44 members in the ARFIS research team distributed an online survey composed of 22 Likert-style, multiple choice and open-ended questions to tertiary students on their format preferences and behaviors. Inferential statistical analysis was used on participant responses, and descriptive statistics analysis was used on the combined amalgamated dataset.

Majorities of students in all countries consistently show preference for reading their academic texts in print. However, variations of preferences do occur between countries. Overall, the language of a reading does not affect reading format preferences, but national scores on this question are greatly diverse.

ARFIS is the largest study of its kind created through a collaboration of researchers in countries on six continents, collecting data in more than 20 languages. The sample size, rigorous statistical analysis and consistency of results strengthen the reliability of the findings. Analysis of the first dataset has received widespread recognition, but this paper is the first to publish the second dataset and the complete amalgamated results.

The purpose of this study was to investigate military officers’ perception of the implicit expectations the organisation has for the officer’s private life and what implications it may have for gender norms at the organisation, family and individual levels.

A qualitative approach, using an inductive thematic analysis, was performed. The data was based on 20 interviews with military officers, including 18 men and 2 women.

Two main themes, with three subsequent subthemes, were identified. These themes were interpreted as being necessary for the military officer to be able to manage organisational demands. The first included the implicit expectations the organisation had for the family. The three subthemes included the officer’s acceptance of frequent travel demands, adapting private life in accordance to organisational demands and picking a partner that matches the goals of the organisation. The second identified main theme included the military officer’s descriptions of implicit expectations the organisation held for the officer’s partner. Three subthemes were identified, including the partner’s need to be independent and psychologically strong, to take the main responsibility for managing family life and to engage in emotion work with the extended family.

The findings identify important perceptions that military officers have regarding the military’s expectations for their private life and the adaptive behaviors regularly performed. These adaptive behaviors allow the military officer to be able to engage in work that sustains the organisation.

The purpose of this paper is to convince the readers that more complex images of working women are needed, and that fiction may provide them.

In this paper, text analysis is done using a version of close reading.

Both media and research tend to simplify the images of working women, either in positive or negative way. Reality and some of its fictive representations offer more nuanced examples.

Fiction can be treated as field material.

Women should dare more at workplaces.

Researchers should join fiction writers in convincing society of the crucial role women play in contemporary organizations.

This paper belongs to the growing tradition of transdisciplinary organization studies.

Despite an increasing demand for international executives, only the most determined women may get assigned abroad. Will this resolve for a career abroad also help them to become successful in their foreign assignment? To answer this question, Western female business expatriates in Hong Kong responded to a mail survey about their expatriate career intentions and their international adjustment. Controlling for the time they had been assigned to Hong Kong, the results show that the more determined the women are to pursue an expatriate career, the better is their interaction adjustment. This is a fundamental finding, as both the other two dimensions of sociocultural adjustment, general adjustment and work adjustment, are based on interpersonal interactions. Implications of these findings for globalizing firms as well as for their female employees are discussed.

This paper examines how lateral accountability mechanisms may be used to address the unity–diversity tension in a large not-for-profit (NFP) inter-organizational partnership governed under a lead organization model.

A case study was conducted in the New South Wales Settlement Partnership comprising 23 NFP organizations providing settlement services for migrants and humanitarian entrants. Multiple data sources included semi-structured interviews, proprietary and publicly available documents and observation.

The paper demonstrates (1) the usefulness of a strength-based approach that the lead organization adopts in enacting lateral accountability mechanisms, which enables a balance between unity and diversity in the partnership; and (2) the capability of the lead organization governance model to address the unity–diversity tension.

The paper (1) identifies the importance of a strength-based approach in implementing lateral accountability mechanisms to address the unity–diversity tension; and (2) challenges prior research that advocates the network administrative organization governance model in addressing the tension.

For practice, the paper identifies a suite of lateral accountability practices designed to address the unity–diversity tension. For policy, it provides confidence for government in promulgating the lead organization governance model in “purchasing” public services.

The paper demonstrates how lateral accountability mechanisms may be used to provide a balance between the objectives of preserving and leveraging the benefits of partner diversity and achieving unity. The strength-based approach (used in enacting the accountability mechanisms), while having a history in psychology and social work research, has not been recognized in prior partnership accountability and governance studies.

The aim of this paper is to measure the effects of universities' ethical management and positive impact on society affect the faculty engagement through the mediating effect of organizational legitimacy.

Engaged employees are characterized by better performance, increased productivity and by generating higher customer loyalty as well greater economic profit. The commitment to the organization they work for is affected by internal and external inputs. Among these, business ethics and corporate community outreach are key factors for improving employee engagement. The authors developed a survey that was distributed to professors of Spanish universities. To treat the data and test the proposed hypotheses, the authors applied structural equations through PLS-SEM.

This research contributes to the organizational management field literature and advises university administrators to adopt an ethical management style based on information transparency, accountability and faculty member involvement in the decision-making process in order to improve their engagement and, therefore, increasing student satisfaction, academic results and positive impact on the common good.

The novelty of the authors’ research stands in the inclusion of legitimacy as a mediation effect between business ethics and community outreach that affect employees' engagement and, specifically, faculty engagement.

本文旨在量度大學的倫理管理和大學對社會產生的積極影響、如何透過組織合法性的仲介效果影響全體教學人員的敬業忠誠度。

敬業的僱員的特徵是他們有較好的表現、有較高的生產率、及帶來更高的客戶忠誠度和更大的經濟利潤。僱員對其服務組織的忠誠度、是受內部和外部輸入所影響的。在這些輸入中，企業倫理和公司的社區外聯是改善僱員敬業程度的關鍵因素。我們設計了一個調查，並分發給西班牙各大學的教授。我們透過偏最小平方法－結構方程模型 (PLS-SEM) 、運用結構方程式來處理數據及測試提出的假設。

本研究在組織管理文獻方面作出了貢獻，並建議大學行政人員、應採用基於資訊透明、問責制和教學人員在決策過程中能夠參與的合乎道德的管理風格。這是為了改善大學教學人員的敬業忠誠度，並因此也能提昇學生的滿意程度、學業成績及為公眾利益發揮更大的積極影響。

本研究嶄新之處在於納入了合法性、以作為影響僱員敬業程度、特別是大學教學人員敬業程度的企業倫理及社區外聯之間的仲介效果。

This study establishes a baseline for the mortgage industry's beliefs and attitudes about race, culture, and discrimination in mortgage banking and determines if these attitudes vary by race. Through survey research, the data reveals that race matters in the lending arena.

THE value of encouraging reading and a love of books at an early age is now receiving more recognition among librarians. At a meeting of Children's Librarians held at the Annual Conference of the Library Association this summer it was the general opinion that librarians should provide a section of picture and easy reading books for the under‐nines. Too many librarians still refuse to recognise the needs of children under nine, and even fewer provide for the under‐sevens, though books for small children are more plentiful than those for older ones, and many are most artistically produced. Librarians and teachers should stop and consider the lot of children who come from bookless homes. In many cases their bookishness developed from their early introduction to books at home, and some are inclined to overlook the fact that not all children are so fortunate as to possess a family library. Of those who do, some mothers look upon books as untidy objects to be pushed away in cupboards, and regard reading as a waste of time, thus only the older and more determined children will develop an interest in reading under such adverse circumstances. They are encouraged by their school and public libraries and, if they are catered for, younger brothers and sisters will also become keen readers and have the foundations laid for a love of the best books which will make them discriminating readers in the future.

This empirical study uses herd behavior model to explore the role of anchor investors in ensuring fundraising success and overfunding of crowdfunded ventures.

Qualitative comparative analysis (QCA) is applied to find the configurational patterns describing how anchor investors' information disclosure leads to successful financing and overfunding.

Even when the anchor investor's resume is not detailed or the anchor investor has little experience in entrepreneurial investment, success or overfunding can be achieved, provided the anchor investor is a corporation rather than an individual. For individual anchor investors, a detailed resume matters. Overfunding can be achieved even when an individual anchor investor makes a small relative investment, if this small relative investment is compensated for by a detailed resume. Experience in entrepreneurial investment is crucial when individual anchor investors have few previous investments. Regardless of the anchor investor's identity, investment in absolute terms is crucial for crowdfunding success when experience in entrepreneurial investment is low. Such experience must be extensive if the anchor investor's resume is not detailed.

Both entrepreneurs and crowdfunding platforms can benefit from the findings in relation to the design of campaigns that use anchor investors' informational cues to achieve success and overfunding.

The study examines the importance of anchor investors' information disclosure in digital crowdfunding environments, differentiating between individual and corporate anchor investors.

本實證研究使用羊群行為模型, 去探究錨定投資者在確保眾籌活動可達成功籌資以及過多籌資方面所扮演的角色。

研究人員以定性比較分析法、去找出描述錨定投資者的資訊公佈如何帶來成功融資和過多籌資的配置模式。

研究結果顯示、只要錨定投資者不是個人、而是一間公司, 則即使他們的履歷不詳盡, 又或他們對企業投資的經驗淺薄, 也無礙籌資或過多籌資的成功完成。如錨定投資者為個人, 則詳盡的履歷會影響甚鉅。即使個人錨定投資者相對而言參與少量的投資, 但若這少量的投資給他們詳盡的履歷所彌補的話, 則過多籌資仍可成功達到。若個別錨定投資者原有的投資量不多的話, 則企業投資的經驗至為重要。不管錨定投資者的身份是什麼, 若他們對企業投資所持的經驗淺薄, 則按絕對值計算的投資額對眾籌能否成功至為重要。若錨定投資者的履歷不詳盡, 則這種經驗必須是豐富廣泛的。

本研究區分了個人錨定投資者與公司錨定投資者兩者對眾籌的影響, 就此而研究在數碼的眾籌環境裡, 錨定投資者信息公佈的重要性。

研究結果可幫助企業家和群眾募資平台去設計可使用錨定投資者的資訊提示來達至成功眾籌和過多籌資的活動。