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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 database contains a wealth of information about the commission and the securities industry which is freely available to the public via the Internet. [1] In September 2017, SEC Chairman Jay Clayton revealed the database had been hacked and that companies' data may have been used by criminals for insider trading. [2]
Insider Trading (Form 5) 5/A Insider Trading (Form 5) Amendment ... All forms are filed with the SEC, and many can be found for free in the SEC's EDGAR database. [5]
The Securities Act of 1933 regulates the distribution of securities to public investors by creating registration and liability provisions to protect investors. With only a few exemptions, every security offering is required to be registered with the SEC by filing a registration statement that includes issuer history, business competition and material risks, litigation information, previous ...
In June 2010, the SEC settled a wrongful termination lawsuit with former SEC enforcement lawyer Gary J. Aguirre, who was terminated in September 2005 following his attempt to subpoena Wall Street figure John J. Mack in an insider trading case involving hedge fund Pequot Capital Management; [44] Mary Jo White, who later served as chair of the ...
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After a Form 3 is filed, future filings of the same nature are filed under Form 4 (standard disclosure) or Form 5 (annual disclosure). Form 3 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]
Form 5 is an SEC filing submitted to the Securities and Exchange Commission on an annual basis by company officers, directors, or beneficial (10%) owners, which summarizes their insider trading activities. This form is simply a combination of year's Form 4 filings, which are mandatory filings made shortly after insiders make transactions.