Jerry P Maland stock holdings and net worth by SEC Form 4 filings Mar, 2024 (2024)

FAQs

What SEC form shows stock ownership? ›

Form 3 is the initial filing and discloses ownership amounts. Form 4 identifies changes in ownership.

Annual and Quarterly Reports

SEC rules require your company to file annual reports on Form 10-K and quarterly reports on Form 10-Q with the SEC on an ongoing basis. These reports require much of the same information about the company as is required in a registration statement for a public offering.

Form 10-K is an annual comprehensive report filed by publicly traded companies with the SEC, detailing their financial performance and business operations. It includes audited financial statements, management's discussion and analysis, risk factors, and other important disclosures.

What's a Form 4? In most cases, when an insider executes a transaction, he or she must file a Form 4. With this form filing, the public is made aware of the insider's various transactions in company securities, including the amount purchased or sold and the price per share.

This information can be accessed through the Securities and Exchange Commission's (SEC) EDGAR database. To find such information, navigate to EDGAR and search a public company name or share symbol. Once the company profile is found, follow the link to filings.

The 500 shareholder threshold was a rule mandated by the SEC that required companies to publicly disclose financial statements and other information if they achieved 500 or more distinct shareholders.

The SEC Rule, also known as the 1/2000 investor limit, restricts the number of non-accredited investors a company can have in a fundraising round. Under this rule, a company cannot have more than 2,000 non-accredited investors. This limitation can impact startups and small businesses in several ways.

The filing reveals the names of the large shareholders in a company and the purpose(s) of the purchase of shares. Based on this information, investors can make informed investing and voting decisions. The SEC also requires a prompt amendment for any material changes disclosed in the schedule.

The SEC requires that Form S-4 contain information regarding the terms of the transaction, risk factors, ratios, pro-forma financial information, and material contracts with the company being acquired. Companies seeking a hostile takeover of another company must file form S-4 in the interests of public disclosure.

EX-21.1: LIST OF SUBSIDIARIES.

What is an 8K document? ›

Form 8-K is known as a “current report” and it is the report that companies must file with the SEC to announce major events that shareholders should know about. Companies generally have four business days to file a Form 8-K for an event that triggers the filing requirement.

A share certificate is a written document signed on behalf of a corporation that serves as legal proof of ownership of the indicated number of shares. It is also referred to as a stock certificate.

If you generate income in the USA and are not a US person for tax purposes, you need to use the W-8BEN form to establish your foreign status. The W-8 BEN form allows tax exemptions and categorizes you to be taxed appropriately as a foreigner.

The SEC's Edgar database allows free public access to all filings related to insider buying and selling of stock shares. A number of financial information websites offer easier-to-use databases of insider buying. Canadian transactions are available on a government website and on financial websites.

SEC Form S-4 is filed by a publicly traded company with the Securities and Exchange Commission (SEC). SEC Form S-4 is required to register any material information related to a merger or an acquisition. The form is also filed by companies undergoing an exchange offer, where securities are offered in place of cash.