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Alan Dye's Section16.net Blog
Webcast Archive:
"Alan Dye on the Latest Section 16 Developments"
(1/27/2021)
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Key Compliance Tools:
Alan Dye's Year-End Section 16 Compliance Checklist
Alan Dye's Year-End Section 16 Actions & Tips
Archives/Transcripts of Our Webcasts
Basics of Section 16
Memos: SEC Enforcement Actions
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Romeo and Dye's Section 16 Compliance Chart
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Sample Summary Sheet
- An Excel spreadsheet to help keep a running tally of an insider's holdings
Sample Equity Tracking Worksheet
- A PowerPoint chart to help track an insider's equity holdings
Studies: Section 16 Reports as Market Indicators
Section 16(b) Litigation Corner:
Stock Sold in Bundled Asset Sale Deemed Sold at Market Price
Issuer's "Fraud" Inducing Insider to Trade is not a Defense to 16(b) Liability
Magistrate Judge Upholds Private Settlement Challenged by Latecomer Plaintiff
Second Circuit Remands
Packer v. Raging Capital
Complaint Dismissed as Moot After Issuer Files 8-K Disclosing Recovery of Profit
Amendment of Derivative Security May (or May Not) Constitute a Purchase and Sale
All Litigation Summaries
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Forms
Romeo & Dye's Section 16 Forms & Filings Handbook
Access and word-search all the model forms in Peter Romeo's and Alan Dye's
Section 16 Forms and Filings Handbook
. New model forms are added on an ongoing basis. Also use the search feature to access answers to practical, day-to-day questions.
Downloadable Forms 3, 4 and 5 & Form 144
Fill in and print Forms 3, 4 and 5 and Form 144. Each form is accompanied by the SEC's instructions for completing the form.
Downloadable Practice Forms
Access sample "practice" forms and documents, such as model board resolutions, memos to insiders, compliance procedures and more.
Sample Item 405 Disclosures - Delinquent Section 16 Filings
Electronic Filing
Section 16 Filer
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Section 16 Q&A Forum
A forum for discussing electronic filing issues and experiences.
Section 16 Disclosure on Corporate Websites
Section 16 Updates
Section 16 Cases & Enforcement Actions
Explore in detail cases and materials mentioned in each issue of Section 16 Updates.
Back Issues of Section 16 Updates
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CompensationStandards.com
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"Practical Corporate Governance Treatise"
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"In-House Essentials Treatise"
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CorporateAffairs.tv
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Deal U. Workshop
Jenkins' "Practical M&A Treatise"
"In-House Accelerator" Paperback
"101 Pro Tips - Career Advice for the Ages" Paperback