Section 16 Reporting: Why, How and When to Do It

Resource type: Practice Note

Status: Maintained

Jurisdiction: USA

This Note discusses the reporting obligations under Section 16 of the Securities Exchange Act of 1934, as amended. This Note reviews the requirements of Form 3, Form 4 and Form 5, including when each form is necessary and what information must be included. This Note also discusses the process of preparing Section 16 reports, including corporate compliance programs. In addition, this Note describes how and when each form is filed with the SEC and otherwise disclosed, and when a filer's obligation to file a Form 4 or Form 5 terminates.

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Resource ID: 2-386-1726
Products: PLC US Corporate & Securities, PLC US Employee Benefits & Executive Compensation, PLC US Law Department
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Topics

Corporate Governance and Continuous DisclosureCorporate Governance and Continuous Disclosure (http://us.practicallaw.com/7-386-0710)
Equity CompensationEquity Compensation (http://us.practicallaw.com/8-503-9116)
Executive CompensationExecutive Compensation (http://us.practicallaw.com/6-503-9117)

Practice Note: Overview

Periodic Reporting and Disclosure Obligations: Overview Periodic Reporting and Disclosure Obligations: Overview (http://uslf.practicallaw.com/topic7-381-0961)

Practice Notes

Section 13(d) Beneficial Ownership Reporting Section 13(d) Beneficial Ownership Reporting (http://uslf.practicallaw.com/topic3-501-2261)
Section 16(b) Short-swing Profit Liability: The Perils of Turning a Quick Profit Section 16(b) Short-swing Profit Liability: The Perils of Turning a Quick Profit (http://uslf.practicallaw.com/topic8-503-3911)

Standard Documents

Limited Power of Attorney for Section 16 Reporting Obligations Limited Power of Attorney for Section 16 Reporting Obligations (http://uslf.practicallaw.com/topic1-521-8343)
Memorandum to Board: Now That You Are Public Memorandum to Board: Now That You Are Public (http://uslf.practicallaw.com/topic6-506-1537)
Memorandum: Understanding Obligations under Section 16 of the Exchange Act Memorandum: Understanding Obligations under Section 16 of the Exchange Act (http://uslf.practicallaw.com/topic1-520-7170)

Standard Clause

Board Resolutions: Designating Section 16 Officers Board Resolutions: Designating Section 16 Officers (http://uslf.practicallaw.com/topic1-518-0284)

Checklist

Form 4 Filing Checklist Form 4 Filing Checklist (http://uslf.practicallaw.com/topic3-386-1542)

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