Compliance Quick Chart
The following chart describes the application of the Section 16(a) reporting requirements to various types of transactions, and also reflects the exemptions from Section 16(b) that may apply to those transactions. References to Rule 16b-3 in Column 2 of the chart are based on the assumption that the applicable conditions specified in the rule will have been satisfied. References to numbered Model Forms in Column 5 refer to the Model Forms that appear in the Section 16 Forms and Filings Handbook.
Categories:
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- Open Market and Private Purchases and Sales
- Gifts and Inheritances
- Dividend Reinvestment Plan
- Stock Option/sar
- Stock Bonus
- Restricted Stock
- Restricted Stock Units
- Performance Share (or unit) Vesting Based Solely on Stock Price
- Performance Share (or unit) Vesting Based, in Whole or in Part, on Factors other than Stock Price
- Non-Qualified Single Fund Deferred Compensation Plan (Phantom Stock)
- Non-Qualified Multi-Fund Deferred Compensation Plan (Phantom Stock)
- Section 401(k) Plan
- Section 423 Stock Purchase Plan
1. Open Market and Private Purchases and Sales
| Transaction | Section 16(b) Exemption | Applicable Reporting Form | Reporting Deadline | Model Form (2014 Handbook) |
| Sale | None Available | Form 4 | Two Business Days (Subject to Delayed Deadline for Certain Rule 10b5-1 Transations — See Below) | 58-60 |
| Purchases of $10,000 or less | None Available | If Purchase, Together with all other unreported purchase in past 6 months, equal to or less than $10,000, Form 5 – If Purchase, Together with all other unreported purchase in past 6 months, exccedes $10,000, all reportable on Form 4 | 45 days after end of fiscal year- All reportable two business days after last purchase (subject to delayed deadline for certain rule 10b5-1 transactions — see below) | 64 |
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