Series 79 - Key Forms and Filings 2024 passed

Series 79 - Key Forms and Filings13E-3 - correct answer Going Private, filed concurrently with a tender offer, registration statement, or other privatization document. Form 3 - correct answer Individual becomes corporate insider, filed within 10 business days Form 4 - correct answer Corporate Insider changes holdings, filed within 2 business days Form 5 - correct answer Corporate insider reports transactions in securities not in public market, filed within 45 calendar days of fiscal year end 13D - correct answer Statement of beneficial ownership (e.g. greater than 5%), filed within 10 business days of transaction or any material change to ownership (1%) or intentions 13G - correct answer Passive statement of beneficial ownership (institutions only), filed within 45 calendar days of calendar year end when owning 5% . If passive investor hits 10%, it must be filed at the end of that month. If passive investor hits 20%, they must filed a 13D 13F - correct answer Quarterly filing by institutional investment managers ($100mm+ in assets); filed within 45 calendar days of quarter end Form 144 - correct answer Corporate insider preparing to sell shares, filed up to first day of 90‐day period when shares are sold 10Q - correct answer Quarterly financial report, filed within 40 calendar days of Q end (large accelerated and accelerated filers) or 45 calendar days (non-accelerated or smaller reporting filers) 10K - correct answer Annual Financial Report, filed within 60 calendar days of FY end for large accelerated filers, 75 days for accelerated filers, and 90 days for non-accelerated and smaller reporting filers