SEC Schedule 13D

AAA

DEFINITION of 'SEC Schedule 13D'

A report that must be submitted to the Securities and Exchange Commission (SEC) by any person or group who is considered to be a beneficial owner of a company's stock. Beneficial ownership occurs when a person or group acquires more than 5% of a voting class of a company's stock and obtains the power to vote or sell the security. SEC Schedule 13D must be filed with the SEC within 10 days of the purchase which is then forwarded to the issuing company and the exchange where the security is traded.

INVESTOPEDIA EXPLAINS 'SEC Schedule 13D'

An amendment must be submitted to the SEC any time there is a substantive change to the information contained in Schedule 13-D. The Schedule is often submitted in conjunction with a tender offer, which is defined by the SEC as "a broad solicitation by a company or third party to purchase a substantial percentage of a company's Section 12 registered equity shares or units over a limited period of time."

RELATED TERMS
  1. Securities And Exchange Commission ...

    A government commission created by Congress to regulate the securities ...
  2. Security

    A financial instrument that represents: an ownership position ...
  3. Securities Act Of 1933

    A federal piece of legislation enacted as a result of the market ...
  4. Securities Exchange Act Of 1934

    The Securities Exchange Act of 1934 was created to provide governance ...
  5. Public Offering

    The sale of equity shares or other financial instruments by an ...
  6. Comprehensive Automated Risk Data ...

    The Comprehensive Automated Risk Data System (CARDS) is an initiative ...
Related Articles
  1. SEC Filings: Forms You Need To Know
    Investing Basics

    SEC Filings: Forms You Need To Know

  2. What Are Corporate Actions?
    Bonds & Fixed Income

    What Are Corporate Actions?

  3. Policing The Securities Market: An Overview ...
    Investing Basics

    Policing The Securities Market: An Overview ...

  4. Digging In To 13D Disclosures
    Investing

    Digging In To 13D Disclosures

comments powered by Disqus
Hot Definitions
  1. Harvest Strategy

    A strategy in which investment in a particular line of business is reduced or eliminated because the revenue brought in by ...
  2. Stop-Limit Order

    An order placed with a broker that combines the features of stop order with those of a limit order. A stop-limit order will ...
  3. Pareto Principle

    A principle, named after economist Vilfredo Pareto, that specifies an unequal relationship between inputs and outputs. The ...
  4. Pareto Principle

    A principle, named after economist Vilfredo Pareto, that specifies an unequal relationship between inputs and outputs. The ...
  5. Budget Deficit

    A status of financial health in which expenditures exceed revenue. The term "budget deficit" is most commonly used to refer ...
  6. Floating Exchange Rate

    A country's exchange rate regime where its currency is set by the foreign-exchange market through supply and demand for that ...
Trading Center