What does SEC Form 4 tell you?

“SEC Form 4: Statement of Changes in Beneficial Ownership is 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. Disclosure of information required on Form 4 is mandatory and becomes public record upon filing.”

What SEC filing shows stock ownership?

The Schedule 13D is also known as the “beneficial ownership report” and is required when any owner acquires 5\% or more of the voting shares in a company. The report must be filed within 10 days of reaching the 5\% threshold.

What does Code M mean on Form 4?

conversion of derivative security
F – Payment of exercise price or tax liability by delivering or withholding securities. I – Discretionary transaction, which is an order to the broker to execute the transaction at the best possible price. M – Exercise or conversion of derivative security.

What are quarterly SEC filings called?

Form 10-Q
Form 10-Q, (also known as a 10-Q or 10Q) is a quarterly report mandated by the United States federal Securities and Exchange Commission, to be filed by publicly traded corporations.

What is a Form 4 stock?

Form 4 is a two-page document, which covers any buy-and-sell orders, as well as the exercise of company stock options. Options are contracts that give the holder the right, but not the obligation to buy or sell a stock at a certain price, and by a specific date.

Who Must File Form 4?

What’s a Form 4? In most cases, when an insider executes a transaction, he or she must file a Form 4. With this form filing, the public is made aware of the insider’s various transactions in company securities, including the amount purchased or sold and the price per share.

What is an s4 filing?

SEC Form S-4 is filed by a publicly traded company with the Securities and Exchange Commission (SEC). It is required to register any material information related to a merger or acquisition. In addition, the form is also filed by companies undergoing an exchange offer, where securities are offered in place of cash.

What is a stock form 4?

What is an SEC s1 filing?

SEC Form S-1 is the initial registration form for new securities required by the SEC for public companies that are based in the U.S. Any security that meets the criteria must have an S-1 filing before shares can be listed on a national exchange, such as the New York Stock Exchange.

How do you find Form 4 SEC?

There are a number of ways that you can gain access to Form 4 filings. The first way is to go directly to the SEC’s EDGAR database. Here, you can search information collected by the SEC using a variety of search tools. The second way is to access websites that offer Form 4 information.