Forms 3, 4, 5

Definition:

Forms filed by a company’s officers, directors, and any Beneficial Owners of more than 10% of a class of a company’s equity securities (corporate insiders) to report their shareholdings to the SEC. The initial filing by an insider is on Form 3, when the issuer is registering securities for the first time under Section 12 of the Exchange Act. Changes of ownership are reported on Form 4. Form 5 must be filed to report transactions that should have been noted in Form 4 or were eligible for deferred reporting. Strict time limits apply to the filing of these forms.

See also Section 16 and Section 16 Reports.

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