What does Code F mean on SEC Form 4?
Payment of exercise price or tax liability
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 does a 13D filing mean?
A Schedule 13D is a document that must be filed with the Securities and Exchange Commission (SEC) within 10 days of the purchase of more than 5% of the shares of a public company by anyone investor or entity. It is sometimes referred to as a beneficial ownership report. 1
How do I get SEC Form 4?
Where Can I Get an SEC Form 4? The Form 4 is available through the SEC’s website as a downloadable PDF. Once filled out correctly (see below for filing information), the reporting person must file the form via the Commission’s Electronic Data Gathering and Analysis and Retrieval System (EDGAR).
What are the codes on a Form 4?
What are the Form 4 transaction codes?
- General Transaction Codes. P – Open market or private purchase of securities.
- Rule 16b-3 Transaction Codes. A – Grant, award, or other acquisition.
- Derivative Securities Codes.
- Other Sections 16(b) Exempt Transactions and Small Acquisition Codes.
- Other Transaction Codes.
Who Files SEC Form 4?
company insiders
Form 4 is required to be filed by a company or the individual at the company when there is a change in the holdings of company insiders. Form 4 must be filed with the SEC within two days of the transaction.
What is an SEC Schedule 13D?
SEC Schedule 13D is a report that investors must file to notify the SEC of ownership of more than five percent of shares in a company.
What is an example of a form 13D?
The database presents Form 13D as “SC 13D–General statement of acquisition of beneficial ownership.” Any amended form is denoted as SC 13D/A. Real World Example of Schedule 13D The media conglomerate, called IAC/InterActiveCorp (IAC), purchased a significant amount of equity shares in MGM Resorts International (MGM).
What is a Schedule 13G form?
When a person or group of persons acquire a significant ownership stake in a company, characterized as more than 5% of a voting class of its publicly traded securities, the SEC requires that they disclose the purchase on a Schedule 13D form. In some cases, they may be able to use a simpler form, called the Schedule 13G.
Where do I find form 13D in SC?
In the database, Form 13D can be found under the title “SC 13D – General statement of acquisition of beneficial ownership.” SC13D/A is the amended version of the filing. Schedule 13D includes seven sections: 1. Security, Issuer, and Owner