S79 Quick Terms to Know
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15 Terms
What is it? Form 3
Becoming a corporate insider over 10%
What is it? Form 4
Corporate insider changes holdings
What is it? Form 5
corporate insider changes holdings slowly
What is it? 13D
active investor greater than 5%
What is it? 13g
passive investor greater than 5%
What is it? 13E-3
Going private
What is it? 13F
quarterly filing by institutional over $100m
What is it? Schedule 14D-9
BOD response to TO
When is it? Form 3
within 10 days
When is it? Form 4
within 2 days
When is it? Form 5
45 calendar days after fiscal year end
When is it? 13D
5 business days after transaction, 2 business days for any material change
When is it? 13G
If 5% 45 calendar days after Q end. If 10% 5 business days after month end
When is it? 13E-3
Concurrent
When is it? 13F
45 calendar days after Q end
Note 
Flashcards (39)