Kimberley H Vogel stock holdings and net worth by SEC Form 4 filings Mar, 2024 (2024)

FAQs

Where can I find Form 4 filings? ›

Forms 3, 4, and 5 are publicly available through the SEC's EDGAR database at www.sec.gov/ edgar/searchedgar/webusers. htm. In addition to the SEC's EDGAR database, there also are many third-party websites that offer insider ownership and transaction information.

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.

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.

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.

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.

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.

Form 4 is filed by a current qualified federal firearms licensee (FFL) registrant to transfer an NFA weapon to an individual or other entity (non-licensee).

Form 4 is required to be filed within 30 days of any change in the constitution of the LLP, such as the appointment of a new partner, the resignation of a partner, or a change in the name, address, or designation of a partner.

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.

For what purpose is the SEC's registration form S-4 used? ›

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.

Form 4 filings include information about the insider, their relationship to the company and its securities, the type of transaction that occurred, and the amount and type of securities involved. A failure to file Form 4 timely must be reported in proxy statements or 10-Ks and can lead to fines.

Generally, a Form 4 must be filed within two business days of the change in beneficial ownership.

In general, Form 4 tells you what insiders are doing with their holdings, and you can use that information to inform your own decisions about whether to invest. For more information on the specifics of Form 4, you can see the instructions of the SEC website here (link opens PDF).

Yes, SEC filings are public information and can be retrieved for free via the EDGAR system online.

Personal computer users may download forms and publications from the IRS Web site at www.irs.gov/forms_pubs/index.html. This site also has links to state tax forms and to forms that you can fill in online and then print.

You can search for and retrieve Form 13F filings using the SEC's EDGAR database. To find the filings of a particular money manager, enter the money manager's name in the Company Name field. To see all recently filed 13Fs, use the "Latest Filings" search function and enter "13F" in the Form Type box.