There are three forms (3, 4 and 5) and their amendments (3/A, 4/A and 5/A) filed through Section 16. More information for each of these forms is outlined below.
Forms can be created as new forms or from previously filed forms. Form information is stored in the Section 16 application for reuse.
Forms are associated directly with reporting owners. These steps assume that you already have your reporting owners set up in the Section 16 application. See Manage Reporting Owners.
The Forms tab includes Unfiled Forms and Archived Forms.
Form types and descriptions
Section 16 of the Security Exchange Act of 1934 outlines the regulatory filing responsibilities of directors, officers and principal stockholders. These documents disclose investment positions and changes in those positions. Beneficial owners may also includes family members in a shared household or groups of persons that acquire, possess or sell a companies securities.
| 類型 | 說明 | 目的 | When to File |
| Form 3 | Initial Statement | An initial statement of beneficial ownership (current holdings) to the SEC such as an initial public offering of equity or debt securities or a new position as a director, officer or holder of at least 10% of a company's equities | Must be filed within 10 days after a reporting owner becomes affiliated with a company |
| Form 4 | New Transaction | To inform the SEC about a material change in beneficial ownership | Must be filed within two days of the transaction (buy or sell) |
| Form 5 | Annual Statement | A statement that includes any transactions not reported during the course of a fiscal year. May contain an EARLY reporting of Form 3 holdings or a LATE reporting of Form 4 transactions | Must be filed no later than 45 days after the end of a company's fiscal year or within 6 months of the end of a reporting owner affiliation |
Amended forms 3A, 4A and 5A allow beneficial owners to inform the SEC about incorrect information that was originally included in Forms 3, 4, and 5. If you need to amend a form, the best practice is to create a new Form 3/A, 4/A or 5/A. These forms must be filed as soon as possible after an error has been detected.
Create a new form
From the Forms tab, click the Create button and choose the type of form to create. In the Create dialog, choose a reporting owner and enter a name for the form, then click Create to create your new form. The new form will be added to the Unfiled Forms list.
Copy or amend previous forms
To create a form based on a previously filed form:
- From the Forms tab, select Archived Forms to view the archived forms library.
- From here, open the menu to the right of the form you'd like to copy or amend and choose the appropriate option.
- Fill out any required information and click Create to create your new form.
The new copied or amended form is completely independent of the original. Changing one does not affect the other. Edit the new form as necessary for the current reporting date.
Export a form
You can export any form, unfiled or archived, as a .pdf or .xml file with or without any attachments. In the toolbar, click Save As and choose your desired format to download your file.
Delete a form
Holding balances are calculated automatically in Section 16 based on transactions. Deleting a form will delete associated transactions and may cause balances to be incorrect. If you need to delete a form, you can open the menu to the right of the form name and choose Delete. Verify all balances for accuracy after deleting a form.