2021年12月31日 · The Securities and Exchange Commission (SEC) Schedule 13G form is an alternative filing for the Schedule 13D form and is used to report a party's ownership of stock which exceeds 5% of a...

Section 13 (d) (6) (A) provides an exemption from the application of Section 13 (d) only in relation to those securities that an issuer acquires through a registered stock-for-stock exchange, such as in a merger where the shares of the target company will be merged out of existence.

When a person or group of persons acquires beneficial ownership of more than five percent of a voting class of a company’s equity securities registered under the Securities Exchange Act, they are required to file a Schedule 13D with the SEC.

2024年3月15日 · Schedule 13G is a simplified SEC filing for reporting ownership exceeding 5%. It offers fewer reporting requirements compared to Schedule 13D. Exemptions exist for institutional investors and individuals meeting specific criteria. Filers can access Schedule 13G forms through the SEC’s EDGAR system.

Schedule 13G is an alternative SEC filing for the Schedule 13D which can be filed in lieu of Schedule 13D by anyone who acquires more than 5% ownership of a Section 13 security and qualifies for one of the exemptions available to the Schedule 13D filing requirement.

Consult your counsel and Regulation 13D-G in the Code of Federal Regulations to determine if you are required to report, and 17 CFR 240.13d-1 to determine whether to report using Schedule 13D (17 CFR 240.13d-101) or Schedule 13G (17 CFR 240.13d-102).

2023年10月13日 · Sections 13 (d) and 13 (g) of the Securities Exchange Act of 1934, as amended (Exchange Act), require that beneficial owners of more than 5% of a company’s registered class of voting securities report their beneficial ownership on a Schedule 13D or, if eligible, a short form Schedule 13G.

2024年1月23日 · Schedule 13G is a filing required by the SEC for investors who hold more than 5% of a publicly traded company’s stock. This filing promotes transparency in the financial markets, allowing stakeholders to understand the ownership structure of a company.

Under Sections 13 (d), 13 (g) and 23 of the Securities Exchange Act of 1934 and the rules and regulations thereunder, the Commission is authorized to solicit the information required to be supplied by this schedule by certain security holders of certain issuers. Disclosure of the information specified in this schedule is mandatory.

2023年6月27日 · SEC Schedule 13G, a simpler, short-form version of Schedule 13D, can be used to disclose the beneficial ownership of a company in lieu of Schedule 13D as long as certain conditions are met by three categories of owners: a qualified institutional investor in accordance with Rule 12d-1 (b), a passive investor based on Rule 13d01 (c), and an exempt...