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TOPIC: Interesting Maxim Disclosure

Interesting Maxim Disclosure 30 Nov 2016 07:47 #8103

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Never saw this disclosure on a research report before:

Maxim Group has received the non-objecting beneficial owners (NOBO) list from Cytori Therapeutics, Inc. which may have some value for the Firm's Wealth Management division.


Non-objecting to what?

WST

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Interesting Maxim Disclosure 30 Nov 2016 08:26 #8104

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Wall Street Titan wrote: Never saw this disclosure on a research report before:

Maxim Group has received the non-objecting beneficial owners (NOBO) list from Cytori Therapeutics, Inc. which may have some value for the Firm's Wealth Management division.


Non-objecting to what?

WST


Apparently- not objecting to releasing the identity (name etc) of the shareholder.

DEFINITION of 'Non-Objecting Beneficial Owner - NOBO'
A beneficial owner who gives permission to a financial intermediary to release the owner's name and address to the company(ies) or issuer(s) in which they have bought securities. Companies and issuers request this personal information so they can contact the shareholder regarding important shareholder communications (such as proxies, circulars for rights offerings and annual/quarterly reports).

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Board moderator and Site-owner. I still regret the day I started analysing the prospects of MacroPore (now Cytori) back in 2004- a left-over from the tech-bubble at that time from the century change in my portfolio- and became addicted to Cytori´s fat cell technology. :cry:

Interesting Maxim Disclosure 30 Nov 2016 08:31 #8105

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A "non-objecting beneficial owner" would be an owner of CYTX that for example has it's stock held by his/her broker in "street name" and has allowed the broker to disclose the real ownership to the Company. This info would have been very important for the Rights Offering and is probably the reason that Maxim has the list.

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Interesting Maxim Disclosure 30 Nov 2016 08:35 #8106

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which may have some value for the Firm's Wealth Management division.

I guess one can interpret this disclosure in different ways...:whistle:

I just like to simply assume that those names and addresses are valuable for that division of Maxim´s since shareholders of cytori will be wealthy folks someday..:yep:

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Board moderator and Site-owner. I still regret the day I started analysing the prospects of MacroPore (now Cytori) back in 2004- a left-over from the tech-bubble at that time from the century change in my portfolio- and became addicted to Cytori´s fat cell technology. :cry:

Interesting Maxim Disclosure 30 Nov 2016 08:59 #8107

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Fas, I see that you enlightened WST about five seconds before I did (you are quick) - I like the point in your second post about the future wealthy CYTX S/H's. LOL.

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Interesting Maxim Disclosure 30 Nov 2016 11:07 #8108

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Maxim personally contacted me for the share holder offering so I know they had my information.
The following user(s) said Thank You: rodney.strongg

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