Oliver O'Connor 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.

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 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.

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.

Forms 4, Application for Tax Paid Transfer and Registration of a Firearm, are for use in transferring serviceable NFA firearms in the following instances: transfers by non-FFLs/SOTs to other such persons; transfers by non-FFLs/SOTs to FFLs/SOTs; and transfers by FFLs/SOTs to non- FFLs/SOTs.

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.

Form 4 filings are publicly available through the Securities and Exchange Commission's Electronic Data Gathering, Analysis, and Retrieval system — EDGAR. Enter “SVB Financial Group” and the Form 4 from Becker that has received news attention appears as an “insider trading report” filed March 1.

Understanding SEC Form S-4

Public or reporting companies must submit Form S-4 to the SEC whenever they are involved in a merger, acquisition, or stock exchange offer. The SEC reviews the information to ensure that the transaction is legal and able to proceed.

What is J code on SEC Form 4? ›

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.

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.

Form 4 must be filed before the end of the second business day following the day on which the subject transaction has been executed.

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 ...

What Is the Short-Swing Profit Rule? The short-swing profit rule is a Securities and Exchange Commission (SEC) regulation that requires company insiders to return any profits made from the purchase and sale of company stock if both transactions occur within a six-month period.

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.

Forms 4, Application for Tax Paid Transfer and Registration of a Firearm, are for use in transferring serviceable NFA firearms in the following instances: transfers by non-FFLs/SOTs to other such persons; transfers by non-FFLs/SOTs to FFLs/SOTs; and transfers by FFLs/SOTs to non- FFLs/SOTs. 167.

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 ATF says a Form 4 is “Typically submitted for a transfer to an individual or legal entity such as a trust.” When you use the ATF Form 4, it is because you have purchased an NFA item from a dealer or individual, and are applying for the tax stamp and notifying the ATF of the purchase and transfer.