What SEC Files Show Shareholders?

What is a 10% shareholder?

10% Shareholder means a person who owns, directly or indirectly, stock possessing more than 10% of the total combined voting power of all classes of stock of the Company or any Parent or Subsidiary of the Company..

What is SEC Form D used for?

Form D is used to file a notice of an exempt offering of securities with the SEC.

Do shareholders have more power than directors?

Shareholders who hold a higher percentage of the shares in the company have even more power to take other types of action. … In simple terms therefore the more shares you have or can command then the more you can influence and disrupt the directors actions.

What securities are exempt from SEC registration?

Exempt securitiesSecurities issued by the U.S. government or federal agencies.Municipal bonds (local government bonds)Securities issued by banks, savings institutions, and credit unions.Public utility stocks or bonds.Securities issued by religious, educational, or nonprofit organizations.More items…

Are SEC filings public information?

The Securities and Exchange Commission ( SEC ) maintains public and non-public records. … You may also use the form below for records not posted to the web (usually dated prior to 1996) including SEC records and documents, historic Commission filings, special reports and studies, speeches, and testimony.

How do you find out if you are a shareholder of a company?

You can find out the names of the shareholders of a public company through several resources. If you wish to find out the names of large shareholders of a public company that has filed with the SEC, you can find this information by searching EDGAR, the SEC’s Electronic Data Gathering, Analysis, and Retrieval System.

Do private companies have to file with SEC?

A private company must file financial reports with the SEC when it has more than 500 common shareholders and $10 million in assets, as set by the Securities and Exchange Act of 1934. … After the company files Form 10, the SEC requires it to file quarterly and annual reports.

What is a significant shareholder?

Significant Shareholder means any person owning, or offering to acquire, directly or indirectly, a number or percentage, as stated by the board of directors, of the outstanding voting shares of a corporation, or any transferee of such person.

What does a 20% stake in a company mean?

A 20% stake means that one owns 20% of a company. With respect to a corporation, this means holding 20% of the issued and outstanding shares. … Even if an early stage company does have profits, those typically are reinvested in the company.

Do shareholders get paid monthly?

It is far more common for dividends to be paid quarterly or annually, but some stocks and other types of investments pay dividends monthly to their shareholders. Only about 50 public companies pay dividends monthly out of some 3,000 that pay dividends on a regular basis.

Which SEC filing shows ownership?

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

What companies are required to file one with the SEC?

Public companies, certain insiders, and broker-dealers are required to make regular SEC filings. Investors and financial professionals rely on these filings for information about companies they are evaluating for investment purposes.

What is considered a major shareholder?

Major Shareholder means any person or entity who directly or indirectly currently owns as of the date of this Agreement 25% of the issued and outstanding stock of the Company.

What are the SEC filing requirements?

SEC rules require your company to file annual reports on Form 10-K and quarterly reports on Form 10-Q with the SEC on an ongoing basis. These reports require much of the same information about the company as is required in a registration statement for a public offering.

What power do shareholders have?

Common shareholders are granted six rights: voting power, ownership, the right to transfer ownership, dividends, the right to inspect corporate documents, and the right to sue for wrongful acts.