Schedule 13D or 13G Filing Chart

Summary

This chart covers triggering events and filing deadlines for beneficial ownership filings required by Sections 13(d) and 13(g) (15 U.S.C. § 78m) of the Securities Exchange Act of 1934, as amended (Exchange Act), as well as Rule 13d-1 (17 C.F.R. § 240.13d-1) adopted thereunder. These require beneficial owners of more than 5% of any equity security registered under Section 12 of the Exchange Act (15 U.S.C. § 78l) and certain other equity securities to publicly disclose such ownership by filing a beneficial ownership report with the Securities and Exchange Commission (SEC). Thereafter, they must file amendments and, for Schedule 13G filers, additional filings after the occurrence of certain triggering events.