SEC. gov | Exchange Act Sections 13 (d) and 13 (g) and Regulation 13D-G . . . Answer: Yes The customer is “deemed” to have acquired beneficial ownership of greater than five percent of the class pursuant to Rule 13d-5 (a) and, therefore, must file a Schedule 13D, or Schedule 13G in lieu thereof, under Section 13 (d) of the Exchange Act and corresponding Rule 13d-1
17 CFR § 240. 13d-1 - Filing of Schedules 13D and 13G. (1) A person who would otherwise be obligated under paragraph (a) of this section to file a statement on Schedule 13D (§ 240 13d-101) may, in lieu thereof, file with the Commission, a short-form statement on Schedule 13G (§ 240 13d-102), Provided, That:
17 CFR 240. 13d-102 -- Schedule 13G—Information to be included in . . . If a parent holding company or control person has filed this schedule pursuant to Rule 13d-1 (b) (1) (ii) (G), so indicate under Item 3 (g) and attach an exhibit stating the identity and the Item 3 classification of the relevant subsidiary
Schedules 13D and 13G - Investor. gov You can find the Schedules 13D and 13G for most publicly traded companies in the SEC’s EDGAR database You can learn how to use EDGAR to find information about companies
New Schedule 13G Accelerated Filing Deadlines Effective September 30 . . . As we noted in prior client alerts (available here and here), in 2023 the Securities and Exchange Commission (SEC) adopted amendments to its beneficial ownership rules The amended rules include accelerated filing deadlines for Schedule 13G that are effective as of September 30, 2024
What is SEC Schedule 13G? | Toppan Merrill Qualified institutional investors must file Schedule 13G within 45 days of the end of the calendar year in which they acquired more than 5% of a company If they acquired more than 10%, then they must file within 10 days of the end of the calendar month in which the acquisition was made
Final SEC Rules Amending Schedule 13G and 13D Beneficial Ownership . . . On Oct 10, 2023, the SEC adopted amendments to the rules governing beneficial ownership reporting on Schedule 13G and 13D (“Final Rules”) Since the publication of the proposed rule changes in February 2022 [1], market participants have awaited the Final Rules to see how the SEC would balance the competing interests at play