SEC filings
Form 3, initial beneficial ownership
The initial statement of beneficial ownership a new Section 16 insider files.
- Form
- Form 3, initial beneficial ownership
- Deadline
- 10 days after becoming an insider, ET
- Who files
- Directors, officers, 10% owners
- Filed under
- The insider's own CIK and CCC
- Plan
- Section 16
How TakePublic handles Form 3
- 01Add the insider
- 02Guided intake
- 03Counsel signs
- 04Filed as the insider
When Form 3 is due
- Insider at registrationDue no later than the Section 12 registration's effective date.
- Roll ruleWeekend and SEC holiday due dates roll to the next business day. All deadlines ET.
What Form 3 contains
- Reporting personIdentity, address, and relationship to the issuer.
- SecuritiesNon-derivative and derivative securities beneficially owned.
- Ownership detailDirect or indirect ownership and any required footnotes.
Frequently asked questions
When is a Form 3 due?
Ten calendar days after becoming a Section 16 insider, or no later than the Section 12 registration's effective date if the person is already an insider then. Weekend and SEC holiday due dates roll forward. All deadlines ET.
Who must file a Form 3?
Directors, officers, and beneficial owners of more than 10% of a class of equity registered under Section 12. Whether a person is a reporting person is a question for securities counsel.
Does Form 3 file under the company's EDGAR codes?
No. Forms 3, 4, and 5 file under the reporting person's own CIK and CCC, which TakePublic stores on the insider record and uses only for that person's Section 16 submissions.
Which plan covers Form 3?
The Section 16 plan, $999 per month: Forms 3, 4, and 5 drafted, signed by counsel, and filed, on top of Monitor's calendar and alerts.
Official sources
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TakePublic is a technology platform, not a law firm, broker-dealer, or auditor. Forms 3, 4 and 5 prepared in TakePublic file only after the reviewer the company designates, such as its securities counsel, signs off; any other filing prepared in TakePublic files only after a licensed securities attorney signs off.