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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.
Copyright © 2012, Campbell R. Harvey. All Rights Reserved.
A form that an insider must file with the SEC within two days of conducting a trade on a company with which the insider is involved. Directors, senior management, and large shareholders must file Form 4. This is done to promote transparency in the market and to discourage insider trading. See also: Form 3, Form 5.
Farlex Financial Dictionary. © 2012 Farlex, Inc. All Rights Reserved
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.
Wall Street Words: An A to Z Guide to Investment Terms for Today's Investor by David L. Scott. Copyright © 2003 by Houghton Mifflin Company. Published by Houghton Mifflin Company. All rights reserved. All rights reserved.