H********i 发帖数: 699 | 1 一个基金公司如果拥有一个公司的股份超过5%以后要向SEC通报,但必须在几天之内向
SEC通报呢?
也就是平常在SEC网站上查到的 SC 13G 表 (Statement of acquisition of
beneficial ownership by individuals)一般是滞后了几天呢? |
h**c 发帖数: 2376 | 2 难道按要求不是马上汇报?至于SEC什么时候把它登出来,就不知道了。。 |
j*a 发帖数: 14423 | 3 你google这个表,表上面有instruction
【在 H********i 的大作中提到】 : 一个基金公司如果拥有一个公司的股份超过5%以后要向SEC通报,但必须在几天之内向 : SEC通报呢? : 也就是平常在SEC网站上查到的 SC 13G 表 (Statement of acquisition of : beneficial ownership by individuals)一般是滞后了几天呢?
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H********i 发帖数: 699 | 4 谢谢,找到了
Schedule 13G must be filed within 45 days of the end of the calendar year in
which the qualified institutional investor exceeds the 5% threshold. Going
forward, amendments are required on an annual basis. Amendments are also
required within 10 days after the end of a month in which beneficial
ownership exceeds 10% or more and within 10 days after the end of a month
when ownership increases or decreases by at least 5%.
link 在这里:
http://www.ria-compliance-consultants.com/form13f_section_13d_schedule_13g.html#11 |