这些公告类似于中国股市的“招股书”,“年报”,“季报”等公告,不同类型Form的格式也有所区别。 了解各类Form代表什么含义,对期望赴美上市的企业家而言,无疑是至关重要的。 为方便企业进一步了解,华谊信今天将根据企业赴美上市中涉及的表格类型进行简单汇总,希望能对大家有所帮助。 Securities Offering Registration ...
the Proposal would likely provide broader access to confidential treatment of filers’ Form 13F information. Form 13F is a public report, filed on a quarterly basis by “institutional investment managers” that exercise investment discretion over $100 million of “13(f) securities,” which are prim...
. . . . .23.8 Form 13F INFORMATION REQUIRED OF INSTITUTIONAL INVESTMENT MANAGERS PURSUANT TO SECTION 13(f) OF THE SECURITIES EXCHANGE ACT OF 1934 AND RULES THEREUNDER GENERAL INSTRUCTIONS 1. Rule as to Use of Form 13F. Institutional investment managers (“Managers”) must use Form 13F for ...
1、Securities Offering Registration Statement(申请上市登记表) 当一家公司发行新的证券,SEC会要求其提交申请上市登记表,内容包括: 1)Disclosures about the securities being offered for sale 2) The relationship of the new securities to the company's other securities ...
根据《1934年证券交易法》(Securities Exchange Act of 1934)，该表格旨在通过向股东提供足够的信息，使他们能够在证券持有人会议上投票，或通过他们授权的代理人投票，来维护股东的权利。21、DEF 14A DEF 14A表格也被称为“最终委托书”（definitive proxy statement）。DEF 14A 表格中的信息一般包含：日期、时间、...
Form 13F was first adopted in 1978. At that time, Section 13(f) required a manager to file a report with the SEC if the manager exercises investment discretion with respect to accounts holding certain equity securities (“13(f) securities”) having an aggregate fair market value on the last...
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE OMB APPROVAL OMB Number:3235-0006 Expires:Oct 31, 2018 Estimated average burden hours per response:23.8 Report for the Calendar Year or Quarter Ended:03-31-2020 ...
FormDescriptionDateFormat 4Statement of changes in beneficial ownership of securitiesDec 6, 2024Open Statement of changes in beneficial ownership of securities in HTML.Open Statement of changes in beneficial ownership of securities in DOC file.Open Statement of changes in beneficial ownership of securitie...
SEC Form 13F SEC Form 4 SEC Form 3 SEC Form D sec form 8-k sec form s-1 Create this form in 5 minutes! Use professional pre-built templates to fill in and sign documents online faster. Get access to thousands of forms. Get form How...
SEC Form 13F requires institutional managers with $100 million or more in assets to disclose their holdings. Form 13D is a beneficial owner report that has to be filed when a person or group of persons acquire more than 5% of a voting class of a company's equity securities.18 The Bottom...