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Pursuant to 13 C MRSA 402 Form

Pursuant to 13 C MRSA 402 Form

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Instructions and help about Pursuant To 13 C MRSA 402

I’m attorney Laura Anthony founding partner of Legal & Compliance, a full service corporate securities and business transactions law firm. Today is the first LawCast in a series discussing Sections 16 and 13 of the Securities Exchange Act related to insider reporting requirements and the Section 16 short swing trading rule. Sections 13 and 16 are individual SEC reporting requirements for officers, directors, and greater than 5% shareholders of publicly reporting companies. Section 13 requires any person or group who directly or indirectly acquires beneficial ownership of more than 5% of the securities of an Exchange Act reporting company to file a statement with the SEC disclosing certain information. Section 13 is a key provision that allows shareholders and potential investors to evaluate changes in substantial ownership. The statement filed is, either, a form Schedule 13D, or 13G and the schedules must be amended in the event of a triggering change to the information initi

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