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CLAY v. RIVERWOOD INTERN. CORP.

No. 97-8592.

157 F.3d 1259 (1998)

Forrest Kelly CLAY, individually and on behalf of all those similarly situated, Plaintiff-Appellant, v. RIVERWOOD INTERNATIONAL CORPORATION, Thomas H. Johnson, et al., Defendants-Appellees.

United States Court of Appeals, Eleventh Circuit.

October 14, 1998.

Attorney(s) appearing for the Case

W. Pitts Carr, Jan Renee Kastanakis, Carr, Tabb & Pope, Atlanta, GA, for Plaintiff-Appellant.

John J. Dalton, Atlanta, GA, Alexander A. Yanos, David W. Rivkin, John H. Hall, New York City, for Defendants-Appellees.

Before HATCHETT, Chief Judge, and DUBINA and CARNES, Circuit Judges.

HATCHETT, Chief Judge:

In this appeal, we address an issue of first impression in the circuits: whether corporate insiders' exercise of stock appreciation rights for cash from their employing company implicates the insider trading laws of §§ 10(b), 20(d) and 20A(a) of the Securities Exchange Act of 1934, as amended (Exchange Act), 15 U.S.C. §§ 78j(b), 78t(d) and 78t-1(a) (1994), and Securities and Exchange Commission (SEC) Rule 10b-5, 17 C.F.R...

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