Section 16 Forms: Guidance for Completing, Filing, and Amending

Public company officers, directors, and principal stockholders (collectively, statutory insiders) of companies with a class of equity security registered under Section 12 of the Exchange Act (15 U.S.C. § 78l) are required to report their beneficial ownership of, and certain transactions in, those securities. This practice note explains relevant disclosures and when and how to file and amend Forms 3, 4, and 5.

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Related Content

• Section 16 Training for Public Companies: Beneficial Ownership Reporting and Profit Disgorgement Presentation
  Teach insiders about their obligations for, and possible consequences of violating, Section 16.

• Memorandum: Obligations of Directors and Officers under Section 16
  Explain Section 16 to directors and management.

• Section 16 Compliance, Insiders, and Liability
  Get a deep understanding of reporting, subject securities, insiders, and more.

• Power of Attorney (To File Forms 3, 4 and 5 under Section 16(a))
  Get the necessary authority to file beneficial ownership forms for insiders.

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