| EDGAR: Form 3/4/5 |
In order to file these Form's you need SEC filing codes, and if you do not have them yet, please read the FORM ID section before proceeding here:
Form 3 and Form 4's are Securities and Exchange Commission (SEC) required filings for insiders. Corporate insiders-meaning a company's officers and directors, and any beneficial owners of more than ten percent of a class of the company's equity securities must file with the SEC a statement of ownership regarding such securities, and are required to report changes in the ownership of those securities.
These forms are only for equity securities that have been registered under Section 12 of the Securities Exchange Act of 1934.
Form 3: Initial filing stating share ownership.
Form 4: Changes in ownership through either the transfer, sale, or buying of additional shares.
Form 5: An annual statement of changes in beneficial ownership of securities that should have been reported on a Form 4, but failed to do so, or were eligible for deferred reporting.
Timeliness: Reporting Requirements
Form 3: The initial filing is on Form 3. An insider of an issuer that is registering equity securities for the first time under Section 12 of the Exchange Act must file this Form no later than the effective date of the registration statement. If the issuer is already registered under Section 12, the insider must file a Form 3 within 10 days of becoming an officer, director, or beneficial owner.
Form 4: Must be filed within 2 days following a change in ownership of securities or derivative securities (including the exercise or granting of stock options). Some categories of transactions are not subject to this, and can be filed on a Form 5, but please consult a securities lawyer on this matter.
Form 5: Must be filed within 45 days after the end of the company's fiscal year.
The daily EDGAR deadline for these filings is 7 PM PST (10 PM EST), which is when the EDGAR system closes. No filings can occur after this hour, until the EDGAR system opens again the next day at 3 AM PST (6 AM EST). The information being reported is disseminated immediately on the EDGAR system, in other words the information is made public.
Templates
We can provide Form 3, 4 and 5 templates in PDF format for you to print out, that you can than submit to us via email or fax, so we can proceed with the electronic submission (EDGAR filing) on your behalf.