Form 4

Form 4

A document that must be filed with the Securities and Exchange Commission (SEC) whenever there is a material change in the holdings of company insiders (including shareholders owning 10% or more of the company's outstanding stock).

Notes:

SEC regulations require insiders to report any material changes in their holdings of their affiliated company, via the submission of a Form 4, before the tenth day of the month following the material transactions. This covers buy and sell orders on the open market as well as the exercise of company stock options.

See also: Buy, Form 3, Form 5, Insider, Insider Trading, Securities & Exchange Commission - SEC, Sell

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Form 4

The form required by the SEC for a change in the holdings of an individual owning 10% or more of the outstanding stock or in the holdings of a company officer.

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Form 4

An SEC form used when reporting changes in the holdings of a firm's common stock or stock equivalents. A reporting of changes is required of holders of more than 10% of a firm's stock and of all directors and officers. This form must be filed with the SEC within ten days of the end of the month in which the change took place.