Ken Vroman stock holdings and net worth by SEC Form 4 filings Mar, 2024 (2024)

FAQs

Is a Form 4 good or bad? ›

Form 4 filings can help investors identify transactions that top corporate insiders such as CEOs, CFOs, and Chairmen have made in US publicly listed companies. This is valuable because corporate insiders have a genuine information advantage over other investors.

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.

F – Payment of exercise price or tax liability by delivering or withholding securities. I – Discretionary transaction, which is an order to the broker to execute the transaction at the best possible price. M – Exercise or conversion of derivative security.

SEC filings can be accessed for free at EDGAR, the commission's online database. The SEC selectively reviews the information it receives to monitor and enhance compliance.

Generally, insider buying illustrates management's confidence in their company. Many consider insider buying a bullish sign or a sign that the company's price will rise in the short term. Conversely, selling is considered a more bearish sign that management offloads its shares before the company's price falls.

The Form 4 is used anytime an NFA Firearm is transferred to a non-FFL – it is used to pay the transfer tax as well as apply for permission to possess the NFA Firearm. When approved, it is returned from the ATF with a tax stamp.

For example, a Form 4 is used when a consumer purchases an item (such as a suppressor), online, or through a Powered By Silencer Shop dealer. If the suppressor was manufactured and shipped ready to use, you would use a Form 4. If you're building the suppressor yourself using pieces and parts, you would file a Form 1.

Anyone who is a Section 16 insider of a reporting company must file a Form 4 with the SEC under Section 16 of the Exchange Act to report any changes in the filer's beneficial ownership of any class of the company's equity securities after the filer executes a transaction.

The SEC requires an S-4 filing from any publicly traded company undergoing a merger or an acquisition. This form must also be filed in bankruptcy situations when there is an exchange offer on the table, and during hostile takeovers. The form must be filed regardless of the underlying purpose of the merger.

If the transaction is not specifically listed, use transaction Code “J” and describe the nature of the transaction in the space for explanation of responses. If a transaction is voluntarily reported earlier than required, place “V” in the appropriate column to so indicate; otherwise, the column should be left blank.

What is code G on Form 4? ›

G - Bona fide gift.

The SEC maintains a database called EDGAR (Electronic Data Gathering, Analysis, and Retrieval) that enables users to search for filings by Company Name or Ticker. 1) Go to the EDGAR webpage, https://www.sec.gov/, and find the link to Company Filings just below the search bar in the upper-right corner.

Find Ownership Filings

Institutional common stock holdings and transactions as reported on form 13F. This database contains ownership information by institutional managers with $100 million or more in assets under management.

Key Takeaways. SEC Form 6-K is required as a cover page for foreign issuers filing reports, such as annual financial reports, with the Securities and Exchange Commission (SEC). The purpose of SEC Form 6-K is that it relieves the burden of dual reporting for certain non-U.S. issuers.

Form 4 is a two-page document, which covers any buy-and-sell orders, as well as the exercise of company stock options. Options are contracts that give the holder the right, but not the obligation to buy or sell a stock at a certain price, and by a specific date.

Use ATF Form 1 if you want to make your own NFA item. Use ATF Form 3 if you're an FFL dealer transferring your NFA item to another FFL or government agency. Use ATF Form 4 if you're a private citizen taking ownership of an NFA item in the form of an individual registration, gun trust, or corporation.

Application for tax paid transfer and registration of firearm used to request approval to transfer a National Firearms Act (NFA) firearm subject to transfer tax liability. Typically submitted for a transfer to an individual or legal entity such as a trust.