Form 3, Form 4 and Form 5 Model Form 19: Amending a Report

ILLUSTRATIVE FACTS: On May 23, 2009, Edwin E. Ellis became the chief financial officer of EFG Corporation. On that date, he owned 1,000 shares of EFG common stock and ...

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Form 4 and Form 5 Model Form 75: Estates, Inheritances, and Bequests

ILLUSTRATIVE FACTS: Randy R. Randall, a director of RST Corporation and the owner of 25,000 shares of RST common stock, was appointed executor of his mother's estate by ...

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Form 4 and Form 5 Model Form 133: Grant of Performance Rights (or Performance Shares)

ILLUSTRATIVE FACTS: Timothy T. Temple, an executive vice president of TUV Corporation, is a participant in the TUV long-term incentive plan. The plan authorizes the ...

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Form 4 and Form 5 Model Form 150: Rollover of Company Stock from 401(k) Plan to IRA

ILLUSTRATIVE FACTS: On September 14, 2009, Millicent M. Mare, a senior vice president of MNO Corporation, announced her retirement, effective September 30. Mare was a ...

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Form 3, Form 4 and Form 5 Model Form 16: Joint and Group Reporting

ILLUSTRATIVE FACTS: RST Corporation has 20,000,000 shares of common stock outstanding. On September 14, 2009, Rochester R. Reingold, who owns 1,000,000 shares of RST ...

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Form 4 and Form 5 Model Form 168: Purchases, Sales, and Conversions of Convertible Securities

ILLUSTRATIVE FACTS: On May 21, 2009, Timothy T. Timbers, a director of TUV Corporation, sold 1,000 shares of TUV Series A convertible preferred stock on the open market ...

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Romeo & Dye’s Section 16 Forms & Filings Handbook

TABLE OF CONTENTS I. Form 3 When to File: 1. Upon becoming an officer or director 2. Upon becoming a director by deputization 3. Upon becoming ...

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