Section 16 Forms: Guidance for Completing, Filing, and Amending

Summary

This practice note discusses the filing requirements of Section 16(a) (15 U.S.C. § 78p) of the Securities Exchange Act of 1934, as amended (Exchange Act). It provides guidance for completing, filing, and amending Forms 3, 4, and 5 on which officers, directors, and principal stockholders (collectively, statutory insiders) of companies with a class of equity security registered under Section 12 of the Exchange Act (15 U.S.C. § 78l) (reporting companies) are required to report their beneficial ownership of and certain transactions in those securities.