Can the reporting person on a SEC Form 4 choose to break down the stock transactions (Table I) whichever way they want?

Asked by: Joe Henry

What is a Form 4 in the stock market?

What Is SEC Form 4: Statement of Changes in Beneficial Ownership? SEC Form 4: Statement of Changes in Beneficial Ownership is a document that must be filed with the Securities and Exchange Commission (SEC) whenever there is a material change in the holdings of company insiders.

How do you read a Form 4?

As a general rule, Form 4 filings that show substantial insider buying activity are a bullish signal. If insiders are buying, it shows that they are confident about the future and expect the company’s share price to rise.

What is Form S 4 used for?

Form S-4 is the registration statement that the Securities and Exchange Commission (SEC) requires reporting companies to file in order to publicly offer new securities pursuant to a merger or acquisition.

What triggers a Form 4?

What’s a Form 4? In most cases, when an insider executes a transaction, he or she must file a Form 4. With this form filing, the public is made aware of the insider’s various transactions in company securities, including the amount purchased or sold and the price per share.

How do I fill out Form 4 SEC?

What Does Code M Mean on Form 4?

  1. Section 1 – Name of the owner of the shares.
  2. Section 2 – Company name and ticker symbol.
  3. Section 3 – Date of transaction.
  4. Section 5 – Relationship of the owner to Company.
  5. Table 1. Title of security, i.e., common stock. Transaction Date. Transaction Code – more on this in a moment.

What does transaction code M mean on Form 4?

Exercise or conversion of derivative security

M — Exercise or conversion of derivative security exempted pursuant to Rule 16b-3. Derivative Securities Codes (Except for transactions exempted pursuant to Rule 16b-3) C — Conversion of derivative security. E — Expiration of short derivative position.

How do I report someone for insider trading?

Contact a Whistleblower Lawyer and Report to the SEC

An attorney can help you report your insider trading information through a Form TCR that includes everything necessary and maximizes your potential whistleblower reward.

What is the difference between Form 3 and Form 4?

Form 3 must also be filed within ten days after a person’s holdings exceed 10% of any class of the company’s registered equity securities. Form 4 is used for the required reporting of changes in company stock ownership.

What is a form 4A?

Form 4A. UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP ( ) Check this box if no longer subject to Section 16.

What is a Form 4 suppressor?

To transfer the silencer from the dealer to the new owner, the ATF uses what is known as the ATF Form 4. This is the form used to transfer regulated firearms like short-barreled rifles, short-barreled shotguns, any other weapons, and suppressors.