What SEC filing shows ownership?

Form 3 is the initial filing and discloses ownership amounts. Form 4 identifies changes in ownership.

Who has to file a 13D?

the U.S. Securities and Exchange Commission
Schedule 13D is a form that must be filed with the U.S. Securities and Exchange Commission (SEC) when a person or group acquires more than 5% of any class of a company’s equity shares. There are several pieces of relevant information that must be disclosed within 10 days of the transaction.

What are Section 16 filings?

Section 16 imposes filing standards for “insiders,” and defines insiders as any officers, directors, or stockholders who possess stock that directly or indirectly results in beneficial ownership of more than 10% of the company’s common stock or other class of equity.

How often do you have to file 13D?

Schedule 13D is an SEC filing that must be submitted to the US Securities and Exchange Commission within 10 days by anyone who acquires beneficial ownership of more than 5% of any class of publicly traded securities in a public company.

Is S 3 filing good or bad?

The filing of a shelf registration statement is often met with derision, and considered a bad omen that shareholder dilution is around the corner. Filing of an S-3 shelf registration signals to the market that a financing is forthcoming, thus creating an overhang on the stock, depressing its performance.

Is 6k filing good or bad?

Filing a Form 8-K will often impact a company’s stock. If the form contains bad news, like a bankruptcy, unexpected defeat in court or the departure of a well-liked executive or board member, the stock will often go down. Naturally, less significant news will have less of a significant impact on stock prices.

Who qualifies as an exempt investor under Section 13 of the Exchange Act?

Exempt Investors. A reporting person is an “Exempt Investor” if the reporting person beneficially owns more than 5% of a class of an issuer’s Section 13(d) Securities at the end of a calendar year, but its acquisition of the securities is exempt under Section 13(d)(6) of the Exchange Act.

How do you determine beneficial ownership?

A beneficial owner is defined as the natural person(s) who ultimately owns or controls a customer and/or the natural person on whose behalf a transaction is being conducted. It also includes those persons who exercise ultimate effective control over a legal person or arrangement.

Who does section 16 apply to?

Section 16 requirements apply to the directors and designated officers of a public company, even if such persons do not own any securities of the company.

What is a 13G amendment?

After crossing the 10% threshold, Qualified Institutional Investors must file an amendment to their Schedule 13G within 10 calendar days following the close of the month to report any ownership change of 5% or more as of the close of the month.

How do you determine Beneficial Ownership?

What is an S-3 filing?

SEC Form S-3 is a regulatory filing that provides simplified reporting for issuers of registered securities. An S-3 filing is utilized when a company wishes to raise capital, usually as a secondary offering after an initial public offering has already occurred.

When do you have to file a beneficial ownership report?

Beneficial ownership reports. If your company has registered a class of its equity securities under the Exchange Act, shareholders who acquire more than 5% of the outstanding shares of that class must file beneficial owner reports on Schedule 13D or 13G until their holdings drop below 5%. These filings contain background information about…

Who are the beneficial owners of a legal entity?

Under the ownership prong, a beneficial owner is each individual, if any, who, directly or indirectly, through any contract, arrangement, understanding, relationship or otherwise, owns 25 percent or more of the equity interests of a legal entity customer.

Are there exemptions from the beneficial ownership requirement?

Exemptions from the Ownership Prong Certain legal entity customers are subject only to the control prong of the beneficial ownership requirement, including: A pooled investment vehicle operated or advised by a financial institution not excluded under paragraph 31 CFR 1010.230(e)(2); and

Who is the beneficial owner of a security?

17 CFR § 240.13d-3 – Determination of beneficial owner. § 240.13d-3 Determination of beneficial owner. (a) For the purposes of sections 13 (d) and 13 (g) of the Act a beneficial owner of a security includes any person who, directly or indirectly, through any contract, arrangement, understanding, relationship, or otherwise has or shares: