late Form 4 | The Public Company Report

Tag Archives: late Form 4

Don’t Think You Have to Worry About Timely Reporting Securities Transactions with the SEC? Think Again.

2013

By: Jessica R. Sudweeks

Officers, directors and major stockholders of publicly traded companies often casually comply with the reporting requirements of Section 13 (Schedules 13D and 13G) and Section 16 (Forms 3, 4 and 5) under the Securities Exchange Act of 1934 (also known as the Exchange Act), if at all. Thus far, this complacent attitude has not resulted in aggressive enforcement action by the SEC, until now.

Continue reading →

Tags: Form 3, Form 4 deadline, Form 4 due date, Form 5, late filers, late Form 4, Schedule 13D, Schedule 13G, Section 16

Comments Leave a Comment
Categories Uncategorized

About DLG

Disclosure Law Group (DLG) is a different kind of law firm, focused principally on representing public companies and institutional investors in connection with extraordinary financing and related corporate transactions, and compliance with the ever changing and complex rules and regulations governing SEC reporting and disclosure. And without the overhead and infrastructure of a large law firm, DLG is able to provide its clients with exceptional counsel at a fraction of the cost typically charged by most traditional corporate law firms.

Because of DLG's relationship with SEC Connect, LLC, DLG is able to provide EDGAR/XBRL filing services as well as access to SEC Connect’s Disclosure, Collaboration and Filing (DCAF) web-based filing system.

About SEC Connect

SEC Connect is a full service-filing agent, only better. SEC Connect eliminates all the variable fees that drive up the cost of a typical filing, by offering pricing options that are simple to understand, yet competitive with the costs offered by even the most aggressive EDGAR filing agents. SEC Connect’s client service team is the best and most attentive in the business, with extensive experience with both EDGAR and XBRL filings. And SEC Connect offers clients access to its award-winning Disclosure, Collaboration and Filing (DCAF) system – a web based filing platform revolutionizing the way law firms, public companies, reporting persons and others involved in the reporting process file documents with the SEC.

This blog is provided for general informational purposes only and no attorney-client relationship with Daniel W. Rumsey, Jessica R. Sudweeks, or Disclosure Law Group is created with you when you use the blog. By using the blog, you agree that the information on this blog does not constitute legal or other professional advice. Do not send any confidential information through the blog or by email to Daniel W. Rumsey, Jessica R. Sudweeks, or Disclosure Law Group, neither of whom or which will have any duty to keep it confidential. The blog is not a substitute for obtaining legal advice from a qualified attorney licensed in your state. The information on the blog may be changed without notice and is not guaranteed to be complete, correct or up-to-date, and may not reflect the most current legal developments. The opinions expressed on the blog are the opinions of Daniel W. Rumsey or Jessica R. Sudweeks only and not those of Disclosure Law Group.

Search

The Public Company Report

Don’t Think You Have to Worry About Timely Reporting Securities Transactions with the SEC? Think Again.

About DLG

About SEC Connect

About the Authors

Daniel W. Rumsey

Jessica R. Sudweeks

Nicole E. York

Recent Posts

Archives