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 ...
On 10 July 2020, the Securities and Exchange Commission (SEC) proposed amending Form 13F and Rule 13f-1 to raise the reporting threshold at which...
. . . . .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 ...
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 primarily listed U.S. equities.2 Managers in scope include U.S. and non-U.S. organizations, regardless ...
1. Securities Exchange Commision (美国证券交易委员会网站) 网页链接 2. Search Company Filings(进入搜索页) 网页链接 3. Entry Company Name:facebook(搜索上市公司名称) 网页链接 4. Viewing Filings(查看上市公司文件) 网页链接 SEC Filing 种类 SEC Filing 种类_美股_商业财经_金融理财网页链接 ...
Type of Securities Within Scope Unlike in the case of the Form 13F filing pursuant to Rule 13f-1, the SEC will not publish an official list of the securities information of which is required to be reported on Form SHO pursuant to Rule 13f-2. Any equity security, whether issued by a U....
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、...
13F-HR:管理股票资产超过一亿美金的机构,需要在每个季度结束之后的45天之内,向证监会提供自己在这个季度末的持仓报告。 就列这么多吧,阿兰哥经常翻阅以后常见的也就是这几种,如果有不知道的直接去SEC查就可以了,具体的表格的名称对应表请参见SEC Form List :SEC.gov | Forms List ...
Form13Ffillings are submitted quarterly by any manager controlling investments of at least $100 million. These managers can be private trusts, banks, insurance companies, investment advisors, and hedge funds. Funds must submit their list of qualifying 13F securities no more than 45 days after the ...
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...