Defendant Name:
Anthony Caputo
Defendant Type:
Individual
Initial Case Details
Legal Case Name
SEC v. SafeNet, Inc., Anthony Caputo, Kenneth Mueller, Clinton Ronald Greenman, John Wilroy, And Gregory Pasko
First Document Date
10-Nov-2009
Initial Filing Format
Civil Proceeding
Case Number
09-cv-02117
Allegation Type
Issuer Reporting and Disclosure
Federal District Court
District of Columbia, District of Columbia
Affiliations
- Former: Director—Chairman at SafeNet, Inc. (October 1987—October 2006)
- Former: CEO at SafeNet, Inc. (October 1987—October 2006)
Violations Alleged
•
Section 16(a) Exchange Act; Rules 13b2-1, 13b2-2, 16a-3 Exchange Act; Regulation D
Related Violations Alleged
Anthony Caputo is alleged to have aided and abetted
SafeNet, Inc.'s violation of Rule 12b-20 of the Exchange Act.
Anthony Caputo is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 12b-20 of the Exchange Act (willfully/knowingly).
Anthony Caputo is alleged to have aided and abetted
SafeNet, Inc.'s violation of Sec 13(a) of the Exchange Act.
Anthony Caputo is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(a) of the Exchange Act (willfully/knowingly).
Anthony Caputo is alleged to have aided and abetted
SafeNet, Inc.'s violation of Rule 13a-1 of the Exchange Act.
Anthony Caputo is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-1 of the Exchange Act (willfully/knowingly).
Anthony Caputo is alleged to have aided and abetted
SafeNet, Inc.'s violation of Rule 13a-11 of the Exchange Act.
Anthony Caputo is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-11 of the Exchange Act (willfully/knowingly).
Anthony Caputo is alleged to have aided and abetted
SafeNet, Inc.'s violation of Rule 13a-13 of the Exchange Act.
Anthony Caputo is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-13 of the Exchange Act (willfully/knowingly).
Anthony Caputo is alleged to have aided and abetted
SafeNet, Inc.'s violation of Sec 13(b)(2)(A) of the Exchange Act.
Anthony Caputo is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(b)(2)(A) of the Exchange Act (willfully/knowingly).
Anthony Caputo is alleged to have aided and abetted
SafeNet, Inc.'s violation of Sec 13(b)(2)(B) of the Exchange Act.
Anthony Caputo is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(b)(2)(B) of the Exchange Act (willfully/knowingly).
Anthony Caputo is alleged to have aided and abetted
SafeNet, Inc.'s violation of Sec 13(b)(5) of the Exchange Act.
Anthony Caputo is alleged to have aided and abetted
SafeNet, Inc.'s violation of Sec 14(a) of the Exchange Act.
Anthony Caputo is alleged to have aided and abetted
SafeNet, Inc.'s violation of Rule 14a-9 of the Exchange Act.
Resolutions
First Resolution Date
02-Dec-2009
Headline Total Penalty and Disgorgement
$3,427,560
Other Defendants in Action:
