Tag:Schedule 13G

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United States: SEC Issues New Guidance on Schedule 13G Eligibility
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United States: D, F, G, 3, 4, 5: Firms Charged for Failing to Make Section 13 and 16 Filings

United States: SEC Issues New Guidance on Schedule 13G Eligibility

Feb 18 2025
Browse archives for February 18, 2025
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Institutional Investors

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By: Lance C. Dial and Jennifer R. Gonzalez

The SEC’s Division of Corporation Finance recently issued new guidance regarding when shareholders can file beneficial ownership reports on Schedule 13G. While the 11 February 2025 Compliance and Disclosure Interpretation (C&DI) maintains the same fundamental principles as before, it adopts a more nuanced approach to what constitutes “changing or influencing control of the issuer.”

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United States: D, F, G, 3, 4, 5: Firms Charged for Failing to Make Section 13 and 16 Filings

Sep 26 2024
Browse archives for September 26, 2024
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Global Regulatory Development, Investment Manager Regulation

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By: Pablo J. Man, C. Todd Gibson, and Lisa N. Ju

On 25 September 2024, the SEC announced settled charges against 23 entities and individuals for failing to make timely filings about their holdings and transactions on Schedules 13D and 13G and on Forms 3, 4 and 5, pursuant to Sections 13 and 16 of the 1934 Act, respectively. The individuals charged were officers, directors and/or beneficial owners of publicly traded companies that failed to make “insider” filings. Two firms were charged for contributing to their officers’ and directors’ failures to file insider reports and for failing to comply with their own disclosure obligations to report such delinquencies. The penalties ranged from US$10,000 to US$750,000, and in the aggregate exceeded US$3.8 million.

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