Crossing the Threshold: Schedule 13D or 13G Filing Chart

Under the Exchange Act, beneficial owners of more than 5% of certain equity securities must disclose such ownership on either Schedule 13D or Schedule 13G. The deadline to file periodic disclosure is 45 days after the end of the calendar year, whereas the initial filing deadline is relative to the acquisition date. Gear up to get these filings in on time with this chart.

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Related Content

• Joint Filing Agreement (Beneficial Ownership Under Section 13)
  Use this template for reporting persons who are considered a “group” and are required to file beneficial ownership reports under Regulation 13D-G under the Exchange Act.
• Beneficial Ownership Under Section 13 of the Exchange Act
  Dig into the obligations of beneficial owners of securities registered under the Exchange Act to disclose the acquisition or possession of such securities.
• Public Company Responsibilities Memorandum
  Explain to your newly public clients the obligations, restrictions, and liabilities that will apply to them under the federal securities laws, including Regulation 13D-G obligations.

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