SEC filings
Form 5 is the annual catch-up ownership statement for Section 16 insiders: transactions that were exempt from Form 4, transactions reported late, or holdings that otherwise belong on the year-end form.
TakePublic drafts Form 5 from the insider roster and recorded activity, routes it through counsel review, and files it under the reporting person's own EDGAR codes. Nothing files without your securities attorney signing off on the exact document.
Form 5 is due 45 calendar days after the issuer's fiscal year end. Due dates falling on a weekend or SEC holiday roll forward to the next business day. Deadlines run on Eastern Time (ET).
| Clock | Deadline |
|---|---|
| Issuer fiscal year end | 45 calendar days after year end |
Weekend and SEC holiday due dates roll to the next business day. All deadlines ET.
The compliance calendar includes a year-end Form 5 check for Section 12 issuers so the team confirms filings or collects written representations that none are required.
Guided intake builds the form from the insider roster and holdings. Form 5 is intake-driven.
Form 5 skips auditor review and moves from internal review to counsel review.
Your securities attorney signs off on the exact document hash before submission. Submission uses the reporting person's CIK and CCC.
Forty-five calendar days after the issuer's fiscal year end. Due dates on a weekend or SEC holiday roll to the next business day. All deadlines ET.
Not every insider owes a Form 5 every year. If no Form 5 is required, companies often collect a written representation. Whether a Form 5 is owed is a question for securities counsel.
Form 4 covers most transactions on a two-business-day clock. Form 5 is the annual form for certain exempt or previously unreported transactions and year-end holdings that belong there.
The Section 16 plan, $499 per month, covers Forms 3, 4, and 5 drafted, signed by counsel, and filed.
The primary sources behind this page, on the SEC's own site.
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