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. Security

    A financial instrument that represents: an ownership position ...
  2. Securities And Exchange Commission ...

    A government commission created by Congress to regulate the securities ...
  3. Public Offering

    The sale of equity shares or other financial instruments by an ...
  4. Securities Exchange Act Of 1934

    The Securities Exchange Act of 1934 was created to provide governance ...
  5. Securities Act Of 1933

    A federal piece of legislation enacted as a result of the market ...
  6. Contra Proferentem Rule

    A rule in contract law which states that any clause considered ...
Related Articles
  1. Investing Basics

    SEC Filings: Forms You Need To Know

    The forms companies are required to file provide a clear view of their histories and progress.
  2. Bonds & Fixed Income

    What Are Corporate Actions?

    Be a savvy investor - learn how corporate actions affect you as a shareholder.
  3. Investing Basics

    Policing The Securities Market: An Overview Of The SEC

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

    Digging In To 13D Disclosures

    This document can provide important clues about a company and its stock.
  5. Taxes

    Is It Smart To Get Dual Citizenship?

    Does it ever make sense to be a citizen of the U.S. and somewhere else? Yes, so you can work minus a visa – not so much, if you get drafted into the army.
  6. Retirement

    Expat In America: Visas To Retire In the U.S.

    It isn't easy for non-citizens to retire in the United States unless a family member is already a citizen. But some visas will allow for longer visits
  7. Mutual Funds & ETFs

    The Impact of the Janus Market Timing Ruling

    A look at the impact of the Janus Supreme Court ruling on market timing.
  8. Options & Futures

    Get To Know These Crucial US Options Market Regulations

    How are options regulated in the U.S and which organizations are involved in options market regulations?
  9. Stock Analysis

    Why Should You Invest In Stratasys Today?

    When Stratasys pre-announced its fourth-quarter earnings, management highlighted that its MakerBot acquisition was underperforming expectations.
  10. 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.

You May Also Like

Hot Definitions
  1. Income Effect

    In the context of economic theory, the income effect is the change in an individual's or economy's income and how that change ...
  2. Price-To-Sales Ratio - PSR

    A valuation ratio that compares a company’s stock price to its revenues. The price-to-sales ratio is an indicator of the ...
  3. Hurdle Rate

    The minimum rate of return on a project or investment required by a manager or investor. In order to compensate for risk, ...
  4. Market Value

    The price an asset would fetch in the marketplace. Market value is also commonly used to refer to the market capitalization ...
  5. Preference Shares

    Company stock with dividends that are paid to shareholders before common stock dividends are paid out. In the event of a ...
  6. Accrued Interest

    1. A term used to describe an accrual accounting method when interest that is either payable or receivable has been recognized, ...
Trading Center