SEC Form 10-K405

Filed Under » , , , , ,
Dictionary Says

Definition of 'SEC Form 10-K405'

A form used by the Securities and Exchange Commission (SEC) prior to 2003. SEC Form 10-K405 was used to indicate that an officer or director of a company failed to file a Form 4 (or similar Form 3 or Form 5) on time, meaning that they did not disclose their insider trading activities within the required time frame.
Investopedia Says

Investopedia explains 'SEC Form 10-K405'

Guidelines for reporting insider trading activity is covered under Section 16 of the Securities Exchange Act. Form 10-K405 was eliminated after it was determined that the use of the form by companies was inconsistent and unreliable. The form is no longer accepted by the EDGAR system.

Articles Of Interest

  1.

    SEC Filings: Forms You Need To Know

    The forms companies are required to file provide a clear view of their histories and progress.

  2. What Investors Can Learn From Insider Trading

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

  3. Defining Illegal Insider Trading

    The better you understand why insider trading can be criminal, the better you'll understand how the market works.

  4. Policing The Securities Market: An Overview Of The SEC

    Find out how this regulatory body protects the rights of investors.

  5. Delving Into Insider Investments

    Keeping tabs on company executives can provide clues about where a stock is headed.

  6. Insider Selling Isn't Always A Bad Sign

    Predated trades at regular intervals can instill confidence, not fear, for investors.

  7. What exactly is insider trading?

    An "insider" is any person who possesses at least one of the following: 1) access to valuable non-public information about a corporation (this makes a company's directors and high-level executives ...

  8. Where can I find a company's annual report and its SEC filings?

    Thanks to the Internet, finding financial reports is easier than ever. Nowadays, every reputable company has an investor relations section on its website that is a wealth of information. Walt ...

  9. The U.S. National Spending And Debt

    We are looking at what could be the official year of the Federal Budget, or, more specifically, our debt and how we will manage it for many years to come.

  10. How To Get A Job At The SEC

    Want to make a good living taking on those renegade trading rascals on Wall Street? Here are some tips to help you get in the door at the SEC.
comments powered by Disqus
Marketplace
Hot Definitions

  1. Xenocurrency

    A currency that trades in markets outside of its domestic borders.

  2. Wanton Disregard

    A standard of severe negligence. Wanton disregard is a very serious accusation that indicates that a person behaved extremely recklessly.

  3. Ultra ETF

    A class of exchange-traded funds (ETF) that employs leverage in an effort to achieve double the return of a set benchmark.

  4. Toehold Purchase

    A purchase of less than 5% of a target company's outstanding stockmade by an acquiring company. A toehold purchase of just under 5%, while not a significant stake in a firm, allows the shareholders a "toe-holds" grip on the company and its decision making.

  5. Samurai Bond

    A yen-denominated bond issued in Tokyo by a non-Japanese company and subject to Japanese regulations.

  6. Chartalism

    A non-mainstream theory of money that emphasizes the impact of government policies and activities on the value of money.
Trading Center
http://sp.fastclick.net/ad/tr/10858-64082-15546-0?mpt=d83b0adcd9b57e910f30e0987ece9499