Insiders and Section 16

Forms 3, 4, and 5, insider filer codes, blackout windows, and D&O questionnaires.

Guide 01Insiders and Forms 3, 4, and 5Track reporting persons, record transactions, and draft Section 16 forms filed under each insider's own CIK. Guide 02Trades that reach you by email and from EDGARForward a broker's trade confirmation to your trades address, and see Form 144 sale notices with no Form 4 behind them, both waiting on the Transactions tab for you to record. Guide 03Late insider reportsWhy a Form 3, 4 or 5 shows as late, the evidence behind the verdict, and the one remedy each row offers. Guide 04What a Form 3, 4 or 5 is checked againstEach of the TakePublic checks: what it compares, the rule behind it, and where Forms 3, 4 and 5 differ. Guide 05Upload a Form 3, 4 or 5 you already haveFor a form a law firm, stock plan administrator or another tool prepared: upload the form's EDGAR XML, choose Needs review or Already reviewed and signed, and TakePublic checks it and files it. Guide 06Derivative holdings and Table IIOptions, RSUs, warrants, and other rights to acquire company stock, reported on Table II of Forms 3, 4, and 5: the codes, exercise price and vesting, underlying shares, and why Owned after can be 0. Guide 0710% ownersLarge holders who are insiders by ownership alone, and why their transactions ledger can be empty. Guide 08How TakePublic imports your insider historyFiled Forms 3, 4, and 5 and beneficial-owner schedules are pulled from the SEC's public EDGAR archives to fill your roster and transaction ledger. Guide 09Blackout windowsTrading windows are enforced: transactions inside a blackout require an audited admin override. Guide 10Trade pre-clearanceInsiders ask before they trade, an approver approves through a date or denies with a reason, and a trade inside an approval fills the Form 4 checklist's Pre-clearance row. Guide 11Answer your D&O questionnaireFor a director or officer: the questions the questionnaire asks and the Regulation S-K items they feed, who at the company reads your answers, and why a reminder replaces the earlier link. Guide 12Your personal Section 16 viewFor a director, officer or 10% owner: sign each Form 3, 4 or 5 from the link the company emails you, then see every company that lists you, your forms and signed copies in one place on My filings. Guide 13Getting your EDGAR access to file Forms 3, 4 and 5For a new director, officer or 10% owner with no EDGAR account: apply on Form ID in your own name for a CIK and codes, what to have ready, the steps, what the company sees and how the new CIK is found. Guide 14Your trade confirmationFor a director, officer or 10% owner asked for a trade's confirmation: what a broker confirmation or plan statement is, where to find it, what to send and why the company asks. Guide 15Your Form 5 confirmationFor a director, officer or 10% owner asked whether they owe a Form 5: what the company asks, what No Form 5 is required means, what EDGAR shows, who decides and when a Form 5 is due. Guide 16Form 5 confirmationsSend single-use links from the Insiders page so each reporting person affirms whether a Form 5 is required for year-end.