Section 16 Filer

The rules under section 16 of the act apply to any class of equity securities of an issuer whether or not registered under section 12 of the act.

Section 16 filer. Item 405 compliance with section 16 a of the exchange act. Section 16 is a rule within the securities exchange act of 1934 sea that articulates the regulatory filing responsibilities that directors officers and principal stockholders are legally. New model forms are added on an ongoing basis.

Access and word search all the model forms in peter romeo s and alan dye s section 16 forms and filings handbook. The debentures need not be reported unless they are also deemed to be equity securities as would occur for example if they were convertible into common stock. With file16 part of dfin s portfolio of end to end solutions you can.

Section 16 electronic reporting frequently asked questions revised august 14 2003 the release 8 6 upgrade to the edgar system effective july 28 2003 improves the functionality of the online filing system for section 16 reports on forms 3 4 and 5 including amendments to these forms. Easily set up file and access section 16 filings from anywhere. Filing on behalf of one issuer company.

Also use the search feature to access answers to practical day to day questions. The rules under section 16 of the act also apply to non equity securities as provided by the investment company act of 1940. Generate filings for multiple reporting owners.

An insider who purchases units consisting of common stock and debentures of the insider s company must file a section 16 a report covering the acquisition of the stock. File16 is a secure web based solution developed by dfin solutions the edgar market leader and section 16 filing leader to allow you to create manage and file section 16 documents sec forms 3 4 and 5. Standard instructions for filing forms under securities act of 1933 securities exchange act of 1934 and energy policy and conservation act of 1975 regulation s k.

Management and certain security holders. Create test and live file unlimited or one off section 16 filings directly with the sec. Downloadable forms 3 4 and 5 form 144.