Form 5

AAA

DEFINITION of 'Form 5'

A document that must be filed with the Securities and Exchange Commission (SEC) by an insider who has conducted insider transactions during the year which were not previously reported via a Form 4 submission.

INVESTOPEDIA EXPLAINS 'Form 5'

Insider transactions involving small amounts of money and certain transactions such as gifts of shares received from another party are sometimes exempt from the usual Form 4 reporting requirements; therefore, a Form 5 submission is required from an insider who has at least one transaction which was not reported during the year. Form 5 submissions are due to the SEC no later than 45 days after the company's fiscal year ends, or within six months after an insider ends his or her affiliation with the company.

RELATED TERMS
  1. SEC Form 10-KT405

    An obsolete Securities and Exchange Commission (SEC) form that ...
  2. SEC Form 10-K405

    A form used by the Securities and Exchange Commission (SEC) prior ...
  3. Securities And Exchange Commission ...

    A government commission created by Congress to regulate the securities ...
  4. Insider

    A director or senior officer of a company, as well as any person ...
  5. Form 3

    A document that must be filed with the Securities and Exchange ...
  6. Insider Trading

    The buying or selling of a security by someone who has access ...
RELATED FAQS
  1. No results found.
Related Articles
  1. Markets

    What Investors Can Learn From Insider Trading

    Some insider trading is actually legal - and can be extremely telling for investors.
  2. Investing Basics

    Policing The Securities Market: An Overview Of The SEC

    Find out how this regulatory body protects the rights of investors.
  3. Options & Futures

    Keeping An Eye On The Activities Of Insiders And Institutions

    These transactions reveal much about a stock. We go over what to consider and where to find it.
  4. Economics

    The Impact Of Ending The US Embargo On Cuba

    Many argue that ending the US embargo on Cuba will not only make US consumers happy, but also help the US economy and bring more freedoms to Cuba.
  5. Economics

    Popular Places Where U.S. Citizens Need A Visa

    A U.S. passport will get you into many countries, but not everywhere. Here's how to visit five of the most popular destinations that require visas.
  6. Economics

    Are You the Victim of Unfair Labor Practices?

    If you are a union member, a union leader, or a manager at a company with an established union, you should understand unfair labor practices.
  7. Investing

    How The SEC Tracks Insider Trading

    We look at how the SEC tracks and tries to stop insider trading - a seemingly impossible task.
  8. Investing News

    Folio Investing Brings Experience To Robo-Advisors

    Prior to the recent upsurge of robo advisors, Folio Investing established itself as an alternative investment service through its online service.
  9. Investing News

    What Affirmative Action Means for Regular Business

    What Affirmative Action means for your businesses today.
  10. Economics

    How To Pass The U.S. Citizenship Test

    The U.S. citizenship test includes a civics section some states may require high school grads to master. Here's what an immigrant must know to pass it.

You May Also Like

Hot Definitions
  1. Prepaid Expense

    A type of asset that arises on a balance sheet as a result of business making payments for goods and services to be received ...
  2. Gordon Growth Model

    A model for determining the intrinsic value of a stock, based on a future series of dividends that grow at a constant rate. ...
  3. Cost Accounting

    A type of accounting process that aims to capture a company's costs of production by assessing the input costs of each step ...
  4. Law Of Supply

    A microeconomic law stating that, all other factors being equal, as the price of a good or service increases, the quantity ...
  5. Investment Grade

    A rating that indicates that a municipal or corporate bond has a relatively low risk of default. Bond rating firms, such ...
  6. Fringe Benefits

    A collection of various benefits provided by an employer, which are exempt from taxation as long as certain conditions are ...
Trading Center