Securities Lawyer 101 l Brenda Hamilton

Securities Lawyer 101 l Brenda Hamilton

Saturday, January 10, 2015

What Is SEC Form 5 & When Is It Due? Securities Lawyer 101

Going Public LawyerSection 16 of the Securities Exchange Act of 1934 requires that officers, directors and holders of more than 10% of a company’s equity securities disclose their ownership of, and transactions in, equity securities, including stock options, warrants and other convertible securities. Section 16 requires that such persons file an Annual Statement of Changes in Beneficial Ownership on Form 5 with... Read MoreGoing Public Lawyer

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