- 33. Disclaiming beneficial ownership
- 34. Short positions
Reporting Common Forms of Indirect Ownership:
- 35. Securities owned by spouse, children, or other members of insider’s immediate family
- 36. Securities held by general partnership
- 37. Securities held by limited partnership
- 38. Securities held by corporation
- 39. Securities owned in a multi-tier subsidiary structure
Securities Held by Family Trusts:
- 40. Trust as reporting person (Family Trust)
- 41. Insider as settlor (Family Trust)
- 42. Insider as trustee (Family Trust)
- 43. Living trust
- 44. Grantor retained annuity trust
- 45. Spouse of insider as trustee
- 46. Insider as beneficiary
Securities Held by Non-Family Trusts:
- 47. Insider as settlor
- 48. Insider as trustee
- 49. Insider as beneficiary
- 50. Remainder interests
- 51. ESOP trusts
- 52. Charitable trusts and foundations
- 53. Charitable remainder trusts
- 54. Voting trusts
III. Form 4
- 55. Voluntary reporting
- 56. Reporting delinquent transactions on Form 4
IV. Form 4 and Form 5
Transactions vs. Holdings:
Purchases and Sales:
- 58. Open market purchase or sale
- 59. Aggregate reporting of same-day open market purchases or sales
- 60. Rule 10b5-1 trading plans – instructions to broker
- 61. Rule 10b5-1 trading plans – trust transactions
- 62. Private purchase or sale
- 63. Short sales against the box
- 64. Small acquisitions (less than $10,000 during six-month period)
- 65. Disclosing disgorgement of short-swing profits
- 66. Sale of securities to issuer
Events of a Personal Nature:
- 67. Changes in form of ownership
- 68. Family members moving into and out of insider’s household
- 69. Receipt of securities as gift