Form investment & finance definition

An SEC form that directors, officers, and holders of 10% or more of a firm's stock are required to file. This form requires disclosure of all shares and all securities convertible into shares that are directly or beneficially owned by these people.

An SEC form used when reporting changes in the holdings of a firm's common stock or stock equivalents. A reporting of changes is required of holders of more than 10% of a firm's stock and of all directors and officers. This form must be filed with the SEC within ten days of the end of the month in which the change took place.