Insider Trading, Code of Ethics, and Procedures for Complaints re: Ethics & Accounting Controls By John Smith, General Counsel Investors, Inc.

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Insider Trading, Code of Ethics, and Procedures for Complaints re: Ethics & Accounting Controls By John Smith, General Counsel Investors, Inc.

Insider Trading Policy  Applies to anyone who has material non-public information – All employees –Board of directors –Certain others (consultants, contractors)  Helps to prevent insider trading  May not “tip” information

Material Non-Public Information  Material Information –“any type of positive or negative information which could reasonably be expected to affect the price of Company securities.” Page 7 of Insider Trading Policy of 6/25/04  Non-Public Information –“has not been widely disseminated to the public through major newswire services, national news services and financial news services.” Page 8 of Insider Trading Policy

Insider Trading Policy  You may exercise options at any time  You may buy stock when you do not have material inside information  May only sell stock during “trading window”  Trading window is beginning of the close of trading on 2 nd full day following public release of earnings and ending 10 days prior to the last day of next quarterly period

End of Demo.. By John Smith, General Counsel Investors, Inc.

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