Section 16 Reporting: Why, How and When to Do It | Practical Law

Section 16 Reporting: Why, How and When to Do It | Practical Law

This Note discusses the reporting obligations under Section 16 of the Securities Exchange Act of 1934, as amended. This Note reviews the requirements of Form 3, Form 4 and Form 5, including when each form is necessary and what information must be included. This Note also discusses the process of preparing Section 16 reports, including corporate compliance programs. In addition, this Note describes how and when each form is filed with the SEC and otherwise disclosed, and when a filer's obligation to file a Form 4 or Form 5 terminates.

Section 16 Reporting: Why, How and When to Do It

Practical Law Practice Note 2-386-1726 (Approx. 21 pages)

Section 16 Reporting: Why, How and When to Do It

by Practical Law Corporate & Securities
Maintained • USA (National/Federal)
This Note discusses the reporting obligations under Section 16 of the Securities Exchange Act of 1934, as amended. This Note reviews the requirements of Form 3, Form 4 and Form 5, including when each form is necessary and what information must be included. This Note also discusses the process of preparing Section 16 reports, including corporate compliance programs. In addition, this Note describes how and when each form is filed with the SEC and otherwise disclosed, and when a filer's obligation to file a Form 4 or Form 5 terminates.