Form 4
USA
A form used to report changes in beneficial ownership of securities. It is required to be filed by Section 16 insiders under Section 16 of the Exchange Act.
Related terms
Section 15(d) filer

Practical Law Dictionary. Glossary of UK, US and international legal terms. . 2010.

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  • Form 4 — is an SEC filing that relates to insider trading. Every director, officer or owner of more than ten percent of a class of equity securities registered under Section 12 of the Securities Exchange Act of 1934 must file with the United States… …   Wikipedia

  • Form 4 — A document that must be filed with the Securities and Exchange Commission (SEC) whenever there is a material change in the holdings of company insiders. Insiders required to submit a Form 4 include directors and officers of the company as well as …   Investment dictionary

  • Form 4 — The form required by the SEC for a change in the holdings of an individual owning 10% or more of the outstanding stock or in the holdings of a company officer. Bloomberg Financial Dictionary …   Financial and business terms

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  • Form 10-K405 — is an SEC filing to the US Securities and Exchange Commission (SEC) that indicates that an officer or director of a public company failed to file a Form 4 (or related Form 3 or Form 5) on time, in violation of Section 16 meaning that they did not …   Wikipedia

  • Form 3 — is an SEC filing filed with the US Securities and Exchange Commission to indicate a preliminary insider transaction by an officer, director, or beneficial (10%) owner of the company s securities. These are typically seen after a company IPOs when …   Wikipedia

  • Form 5 — is an SEC filing submitted to the Securities and Exchange Commission on an annual basis by company officers, directors, or beneficial (10%) owners, which summarizes their insider trading activities. This form is simply a combination of year s… …   Wikipedia

  • 4(c) documents — USA 4(c) documents, Also known as item 4(c) documents. Certain company materials regarding the competitive aspects of a merger or acquisition that must be provided to the Federal Trade Commission and the Department of Justice in a filing required …   Law dictionary

  • Form — Gefüge; Organisation; Gerüst; Konsistenz; Struktur; Beschaffenheit; Anordnung; Geflecht; Aufbau; Zustand; Qualität; Fasson; …   Universal-Lexikon

  • Form 5 — A document that must be filed with the Securities and Exchange Commission (SEC) by an insider who has conducted insider transactions during the year which were not previously reported via a Form 4 submission. Insider transactions involving small… …   Investment dictionary

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