Form 4

This article is about the SEC filing. For the US ATF Form 4, see Form 4 (ATF).

Form 4 is a United States SEC filing that relates to insider trading. Every director, officer and owner of more than 10 percent of a class of a particular company's equity securities registered under Section 12 of the Securities Exchange Act of 1934 must file with the United States Securities and Exchange Commission a statement of ownership regarding such security. The initial filing is on Form 3 and changes are reported on Form 4. The annual statement of beneficial ownership of securities is on Form 5. The forms contain information on the reporting person's relationship to the company and on purchases and sales of such equity securities.

Form 4 is stored in SEC's EDGAR database and academic researchers make these reports freely available as structured datasets in the Harvard Dataverse.[1][2][3]

A Form 4 must be filed before the end of the second business day following a change in ownership of securities or derivative securities (including the exercise or grant of stock options) for individuals subject to Section 16 of the Securities Exchange Act of 1934.

Transaction codes

Each transaction listed on the Form 4 filing has a transaction code:

General transaction codes

  • P – Open market or private purchase of securities
  • S – Open market or private sale of securities
  • V – Transaction voluntarily reported earlier than required

Rule 16b-3 transaction codes

  • A – Grant, award, or other acquisition
  • D – Sale (or disposition) back to the issuer of the securities
  • F – Payment of exercise price or tax liability by delivering or withholding securities
  • I – Discretionary transaction, which is an order to the broker to execute the transaction at the best possible price
  • M – Exercise or conversion of derivative security

Derivative securities codes

  • C – Conversion of derivative security (usually options)
  • E – Expiration of short derivative position (usually options)
  • H – Expiration (or cancellation) of long derivative position with value received (usually options)
  • O – Exercise of out-of-the-money derivative securities (usually options)
  • X – Exercise of in-the-money or at-the-money derivatives securities (usually options)

Other sections 16b exempt transactions and small acquisition codes

  • G – Bona fide gift form of any clauses
  • L – Small acquisition
  • W – Acquisition or disposition by will or laws of descent and distribution
  • Z – Deposit into or withdrawal from voting trust

Other transaction codes

  • J – Other acquisition or disposition (transaction described in footnotes)
  • K – Transaction in equity swap or similar instrument
  • U – Disposition due to a tender of shares in a change of control transaction

Resources

References

  1. ^ Balogh, Attila (26 April 2023). "Insider trading". Scientific Data. 10 (237). doi:10.1038/s41597-023-02147-6. PMC 10130014. Retrieved 3 May 2024.
  2. ^ Balogh, Attila (3 May 2024). "Layline insider trading dataset". Harvard Dataverse. doi:10.7910/DVN/VH6GVH. Retrieved 3 May 2024.
  3. ^ "Layline Dataverse".

Read other articles:

موسيقى فارسية تقليدية

موسيقى فارسية تقليديةمعلومات عامةالبلد إيران أصول الأسلوب Middle Eastern classical music (en) — موسيقى إيرانية تعديل - تعديل مصدري - تعديل ويكي بيانات موسيقى فارسية تقليدية تشير الموسيقى الفارسية التقليدية (بالفارسية: موسیقی سنتی فارسی) أو الموسيقى الإيرانية التقليدية، التي تُعرف أيضًا...

 

Frank B. Klepper

American politician Frank B. KlepperMember of the U.S. House of Representativesfrom Missouri's 3rd districtIn officeMarch 4, 1905 – March 3, 1907Preceded byJohn DoughertySucceeded byJoshua Willis Alexander Personal detailsBorn(1864-06-22)June 22, 1864Cameron, MissouriDiedAugust 4, 1933(1933-08-04) (aged 69)Liberty, MissouriPolitical partyRepublican Frank B. Klepper (June 22, 1864 – August 4, 1933) was a U.S. Representative from Missouri. Born in St. John, Putnam ...

 

Jed Steer

Artikel ini sebatang kara, artinya tidak ada artikel lain yang memiliki pranala balik ke halaman ini.Bantulah menambah pranala ke artikel ini dari artikel yang berhubungan atau coba peralatan pencari pranala.Tag ini diberikan pada Desember 2023. Jed SteerInformasi pribadiNama lengkap Jed John SteerTanggal lahir 23 September 1992 (umur 31)Tempat lahir Norwich, InggrisTinggi 1,89 m (6 ft 2+1⁄2 in)Posisi bermain Penjaga gawangInformasi klubKlub saat ini Aston VillaKarie...

2017 Boston Red Sox season

Major League Baseball season Major League Baseball team season 2017 Boston Red SoxAmerican League East ChampionsLeagueAmerican LeagueDivisionEastBallparkFenway ParkCityBostonRecord93–69 (.574)Divisional place1stOwnersJohn W. Henry (Fenway Sports Group)PresidentSam KennedyPresident of baseball operationsDave DombrowskiGeneral managernone (de facto by President of Baseball Operations)ManagerJohn FarrellTelevisionNESN(Dave O'Brien, Jerry Remy, Dennis Eckersley, Steve Lyons, Tom Caron)Radi...

 

Kangxi Dictionary

18th-century Chinese dictionary Kangxi DictionaryKangxi Dictionary, 3rd ed. (1827)Chinese nameChinese康熙字典TranscriptionsStandard MandarinHanyu PinyinKāngxī ZìdiǎnWade–GilesK'ang-hsi Tzu-tienWuRomanizationKhan平si入 Zy去di平Yue: CantoneseYale RomanizationHōnghēi JihdínJyutpingHong1 hei1 zi6 din2Southern MinHokkien POJKhong-hi Jī-tiánVietnamese nameVietnamese alphabetKhang Hi tự điểnHán-Nôm康熙字典Korean nameHangul강희자전Hanja康熙字典TranscriptionsRevis...

 

Super-Skrull

Fictional character in Marvel Comics Comics character Super-SkrullSuper-Skrull (Kl'rt) as seen on the cover of Annihilation: Super-Skrull #4.Art by Gabriele Dell'Otto.Publication informationPublisherMarvel ComicsFirst appearanceFantastic Four #18 (September 1963)[1]Created byStan Lee (writer)Jack Kirby (artist)In-story informationFull nameKl'rtSpeciesEnhanced SkrullPlace of originTarnax IVTeam affiliationsSecret Defenders United FrontNotable aliasesInvincible Man Dr. Franklin Storm Th...

Me & the Rhythm

Me & the RhythmSingel promosi oleh Selena Gomezdari album RevivalDirilis02 Oktober 2015 (2015-10-02)FormatUnduhan digitalDirekam2015GenreDancediskoR&Bsynth-popDurasi3:33LabelInterscopePolydorPenciptaSelena GomezJustin TranterJulia MichaelsRobin FredrikssonMattias LarssonProduserMattman & RobinKronologi Selena Gomez promotional singles Shake It Up (2010) Me & the Rhythm (2015) Feel Me (2020) Me & the Rhythm adalah lagu oleh penyanyi asal Amerika Serikat, Selena Gomez d...

 

Maître de la Légende de sainte Marie-Madeleine

Maître de la Légende de sainte Marie-MadeleineBiographieNaissance 1480Décès 1537Activité Artiste peintrePériode d'activité 1480-1537Autres informationsMouvement Primitif flamandGenre artistique Renaissance nordiquemodifier - modifier le code - modifier Wikidata Vierge à l'enfant (1520), musée des Beaux-Arts de Gand. Le Maître de la Légende de sainte Marie-Madeleine est un peintre flamand de la fin du XVe siècle et du début du XVIe siècle dont le nom ne nous est pas con...

 

James Bryce, 1st Viscount Bryce

British academic (1838–1922) For other people named James Bryce, see James Bryce (disambiguation). The Right HonourableThe Viscount BryceOM GCVO PC FRS FBABryce in 1902British Ambassador to the United States In office1907–1913MonarchsEdward VII George VPrime MinisterSir Henry Campbell-Bannerman H. H. AsquithPreceded bySir Henry Mortimer DurandSucceeded bySir Cecil Spring RiceChief Secretary for IrelandIn office10 December 1905 (1905-12-10) – 23...

The Quiett

Ini adalah nama Korea; marganya adalah Shin. The Quiett더 콰이엇Informasi latar belakangNama lahirShin Donggab (신동갑)Lahir29 Januari 1985 (umur 39)Gwangmyeong, Gyeonggi, Korea SelatanGenreMusik hip hopPekerjaanRapperkomponisproduser rekamanInstrumenRapTahun aktif2003 (2003)-sekarangLabel Soul Company (2004-2010) Illionaire (2011-sekarang) Artis terkaitIllionaireP&QSitus webillionaire.kr Shin Dong Gab (Hangul: 신동갑; RR: Sin Donggap; MR:...

 

Surucuá-variado

Surucuá-variado Surucuá-variado macho, forma de barriga vermelha Estado de conservação Pouco preocupante (IUCN 3.1) [1] Classificação científica Reino: Animalia Filo: Chordata Classe: Aves Ordem: Trogoniformes Família: Trogonidae Género: Trogon Espécie: T. surrucura Nome binomial Trogon surrucura(Vieillot, 1817) Distribuição geográfica O surucuá-variado ou surucuá-de-peito-azul[2] (Trogon surrucura) é uma espécie de ave da família Trogonidae.[1] Características Mede aproxi...

 

House of York

Cadet branch of the House of Plantagenet For other uses, see York House. House of YorkAs descendants of King Edward III in the male line, the first three Dukes of York bore the arms of that King (adjusted for France modern) differenced by a label of three points argent each bearing three torteaux gules. The 4th Duke, later King Edward IV, abandoned his paternal arms in favour of new arms emphasising his descent via female lines from the royal line of Clarence/de Burgh/Mortimer, senior to that...

Baltic neopaganism

Category of autochthonous religious movements Part of a series onBaltic religion Mythology Prussian Lithuanian Latvian Indo-European Deities Panbaltic Perkūnas Velnias Dievas Saulė Mėnulis Prussian Patollo Peckols Potrimpo Swayxtix Autrimps Aušlavis Bardoayts Kurka Pilnytis Puszajtis Latvian Ūsiņš Ceroklis Jumis Auseklis Laima Dēkla Kārta Lauma Māra Mahte Lithuanian Gabija Žemyna Laima Medeina/Žvorūna Laumė/Ragana Aušrinė Bangpūtys/Vėjopatis Rūgutis Miscellaneous Aitvaras K...

 

Joaquín Costa

You can help expand this article with text translated from the corresponding article in Spanish. (February 2017) Click [show] for important translation instructions. Machine translation, like DeepL or Google Translate, is a useful starting point for translations, but translators must revise errors as necessary and confirm that the translation is accurate, rather than simply copy-pasting machine-translated text into the English Wikipedia. Do not translate text that appears unreliable or l...

 

Songo River

River in the United StatesSongo RiverLocationCountryUnited StatesPhysical characteristicsSource  • locationMaine • elevation268 ft (82 m) Mouth  • locationSebago Lake State Park • elevation267 ft (81 m)[1]Basin size114 sq mi (300 km2) The Songo River is a 3.1-mile-long (5.0 km)[2] river in Maine. The river flows from Brandy Pond at the south end of Long Lake i...

智代After ～It's a Wonderful Life～

智代After ～It's a Wonderful Life～ 智代アフター 〜It's a Wonderful Life〜 Tomoyo After: It's a Wonderful Life 假名 ともよアフター 〜イッツ ア ワンダフル ライフ〜 罗马字 Tomoyo Afutā 〜Ittsu a Wandafuru Raifu〜 類型 戀愛 遊戲 遊戲類型 戀愛冒險 使用平台 Windows 98/2000/Me/XP、Xbox 360PlayStation 2、PlayStation 3PlayStation Portable、Android任天堂Switch 開發團隊 Key 發行商 Key（PC）PROTOTYPE（PS2/PS3/PSP/360/Switch）Mo...

 

الدوري الفرنسي 1993–94

الدوري الفرنسي 1993–94 تفاصيل الموسم الدوري الفرنسي  النسخة 56  البلد فرنسا  التاريخ بداية:23 يوليو 1993  نهاية:21 مايو 1994  المنظم اتحاد فرنسا لكرة القدم  البطل باريس سان جيرمان  الهابطون نادي أنجيه،  ونادي تولوز،  وأولمبيك مارسيليا  مباريات ملعوبة 380   ...

 

Cameron Hall (actor)

English actor (1897–1983) Cameron HallBornRupert Cameron Hall(1897-01-06)6 January 1897Hull, East Riding of Yorkshire, EnglandDied19 December 1983(1983-12-19) (aged 86)Sidmouth, Devon, EnglandOccupationActor Cameron Hall (6 January 1897 – 19 December 1983) was an English actor.[1][2] [3] He was born in Hull, East Riding of Yorkshire, and died, aged 86, in Sidmouth, Devon Selected filmography D'Ye Ken John Peel? (1935) First a Girl (1935) - Cast Member (unc...

André Vacherot

Questa voce sull'argomento tennisti francesi è solo un abbozzo. Contribuisci a migliorarla secondo le convenzioni di Wikipedia. André VacherotNazionalità Francia Altezza170 cm Tennis Termine carrieran/d Carriera Singolare1 Vittorie/sconfitte Titoli vinti 4 Miglior ranking Risultati nei tornei del Grande Slam  Australian Open -  Roland Garros V (1894, 1895, 1896, 1901)  Wimbledon -  US Open - Doppio1 Vittorie/sconfitte Titoli vinti 2 Miglior ranking Risultati ...

 

Unione Calcio Sampdoria 1959-1960

Voce principale: Unione Calcio Sampdoria. UC SampdoriaStagione 1959-1960 Sport calcio Squadra Sampdoria Allenatore Eraldo Monzeglio Presidente Alberto Ravano Serie A8º Coppa ItaliaOttavi di finale Maggiori presenzeCampionato: Cucchiaroni, Skoglund, Vicini (34) Miglior marcatoreCampionato: Cucchiaroni (10) 1958-1959 1960-1961 Si invita a seguire il modello di voce Questa voce raccoglie le informazioni riguardanti l'Unione Calcio Sampdoria nelle competizioni ufficiali della stagione ...