SEC filings
Form 5, annual statement of beneficial ownership
The annual catch-up ownership statement for Section 16 insiders.
- Form
- Form 5, annual beneficial ownership
- Deadline
- 45 calendar days after fiscal year end, ET
- Who files
- Section 16 insiders
- Filed under
- The insider's own CIK and CCC
- Plan
- Section 16
How TakePublic handles Form 5
- 01Year-end check
- 02Guided intake, or none owed
- 03Counsel signs
- 04Filed as the insider
When Form 5 is due
Weekend and SEC holiday due dates roll forward. All deadlines ET.
What Form 5 contains
- Reporting personIdentity and relationship to the issuer.
- Annual reportingTransactions and holdings reportable on an annual basis.
- FootnotesIndirect ownership and other required explanations.
Frequently asked questions
When is a Form 5 due?
Forty-five calendar days after the issuer's fiscal year end. Weekend and SEC holiday due dates roll to the next business day. All deadlines ET.
Do we always need a Form 5?
No. When none is required, companies often collect the insider's written confirmation; whether a Form 5 is owed is a question for securities counsel.
How is Form 5 different from Form 4?
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.
Which plan covers Form 5?
The Section 16 plan, $999 per month: Forms 3, 4, and 5 drafted, signed by counsel, and filed.
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.