Lance Varro D'Ambrosio stock holdings and net worth by SEC Form 4 filings Mar, 2024 (2024)

FAQs

Is Form 4 bullish or bearish? ›

Stock prices tend to spike when CEOs file a Form 4 indicating they purchased shares in the company.

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.

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.

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.

Form 4 filings can potentially provide investors with trading signals. Insiders have an information advantage over other investors and studies show a link between their trades and stock performance. A Form 4 filing that shows a significant purchase or sale can be a good starting point to further investigate a stock.

A Form 4 must be filed before the end of the second business day following a change in ownership of securities or derivative securities (including the exercise or grant of stock options) for individuals subject to Section 16 of the Securities Exchange Act of 1934.

Form S-4 is the registration statement that the Securities and Exchange Commission (SEC) requires reporting companies to file in order to publicly offer new securities pursuant to a merger or acquisition.

The SEC requires that Form S-4 contain information regarding the terms of the transaction, risk factors, ratios, pro-forma financial information, and material contracts with the company being acquired. Companies seeking a hostile takeover of another company must file form S-4 in the interests of public disclosure.

It simply indicates that an insider traded shares — and doing so is not necessarily illegal. Form 4 filings are publicly available through the Securities and Exchange Commission's Electronic Data Gathering, Analysis, and Retrieval system — EDGAR.

A - Grant, award or other acquisition pursuant to Rule 16b-3(d)

How does an executive report a grant of restricted stock on SEC Form 4? ›

A grant of restricted stock is reported in Table I with transaction code A within two business days of the grant date. No separate filing is made at vesting for restricted stock, unless any stock is withheld or surrendered to cover withholding.

Amendments

(a) If this Form is filed as an amendment in order to add one or more lines of transaction information to Table I or Table II of the Form being amended, provide each line being added, together with one or more footnotes, as necessary, to explain the addition of the line or lines.

The Form 4 is a mandated disclosure under Section 16(a) of the Securities and Exchange Act, which is intended to inform people about an insider's transactions in and holdings of issuer securities. The Form 4 must be filed within two business days of the transaction date.

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

Importantly, with respect to Section 13(d) Securities, a person is deemed to beneficially own the applicable securities if the person has the right to acquire the securities within 60 days of the reporting date, including (a) through the exercise of any option, warrant or right; (b) through the conversion of a security ...

SEC Form S-4 is filed with the SEC by a public company to register any material information related to a mergers and acquisitions deal. The Security & Exchange Commission's Rule 144 regulates the resale of restricted or unregistered securities.

It simply indicates that an insider traded shares — and doing so is not necessarily illegal. Form 4 filings are publicly available through the Securities and Exchange Commission's Electronic Data Gathering, Analysis, and Retrieval system — EDGAR.

A - Grant, award or other acquisition pursuant to Rule 16b-3(d)

Relative Strength Index (RSI)

RSI is almost always measured with a computer, typically over a seven- or nine-day range, producing a numerical result between 0 and 100 that points to oversold or overbought situations; the RSI, therefore, gives a bullish or bearish signal, respectively.