SEC Schedule 13D

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DEFINITION

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

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."


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