Section 16 and Rule 10b5-1 Plan Questionnaire | Practical Law

Section 16 and Rule 10b5-1 Plan Questionnaire | Practical Law

A form of Section 16 Questionnaire to be used to collect and verify information relating to the ownership of a public company's securities by its directors and officers. This questionnaire can be used in the preparation of an initial Form 3 filing, to determine the necessity of filing a Form 5, or in preparation of the company's Form 10-Q, Form 10-K, annual report to stockholders and proxy statement. This Standard Document has integrated notes with important explanations and drafting tips.

Section 16 and Rule 10b5-1 Plan Questionnaire

Practical Law Standard Document w-018-0783 (Approx. 22 pages)

Section 16 and Rule 10b5-1 Plan Questionnaire

by Practical Law Corporate & Securities
MaintainedUSA (National/Federal)
A form of Section 16 Questionnaire to be used to collect and verify information relating to the ownership of a public company's securities by its directors and officers. This questionnaire can be used in the preparation of an initial Form 3 filing, to determine the necessity of filing a Form 5, or in preparation of the company's Form 10-Q, Form 10-K, annual report to stockholders and proxy statement. This Standard Document has integrated notes with important explanations and drafting tips.