Duane A Portwood stock holdings and net worth by SEC Form 4 filings Mar, 2024 (2024)

FAQs

What SEC form shows stock ownership? ›

Form 3 is the initial filing and discloses ownership amounts. Form 4 identifies changes in ownership.

A 10-K is a comprehensive report filed annually by public companies about their financial performance. The report is required by the U.S. Securities and Exchange Commission (SEC) and is far more detailed than the annual report.

What's a Form 4? In most cases, when an insider executes a transaction, he or she must file a Form 4. With this form filing, the public is made aware of the insider's various transactions in company securities, including the amount purchased or sold and the price per share.

In general, Form 4 tells you what insiders are doing with their holdings, and you can use that information to inform your own decisions about whether to invest.

The SEC requires that Form S-4 contain information regarding the terms of the transaction, risk factors, ratios, pro-forma financial information, and material contracts with the company being acquired. Companies seeking a hostile takeover of another company must file form S-4 in the interests of public disclosure.

The 500 shareholder threshold was a rule mandated by the SEC that required companies to publicly disclose financial statements and other information if they achieved 500 or more distinct shareholders.

10-K is short for Form 10-K, which is a document the SEC requires all public companies to file each year. The form presents a financial picture of the company, detailing its revenues, assets, and liabilities for the previous year.

SEC Form S-3 is a regulatory filing that provides simplified reporting for issuers of registered securities. An S-3 filing is utilized when a company wishes to raise capital, usually as a secondary offering after an initial public offering has already occurred.

Form S-4 is the registration statement that the Securities and Exchange Commission (SEC) requires reporting companies to file in order to publicly offer new securities pursuant to a merger or acquisition.

What is Form S-8? Form S-8 is used to register securities that a publicly traded company offers as part of its employee benefits package. For example, if employees receive shares as part of their benefits package, the company will need to file an S-8 form registering these shares before it can give them to employees.

What is the SEC Form 3 and 4? ›

SEC Form 3 is required to be filled out when an individual becomes an insider in a firm, according to specific SEC rules. The individual will need to disclose their ownership of company shares. SEC Form 4 needs to be filled out when there is any change in the ownership of a company's stock.