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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
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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:
Plaintiffs Appeal Ruling that Board Approval Exemption Does not Require Approval by Every Director
Conditional Exercise of In-the-Money Option is Exempt Whether or Not Option is Still In-the-Money When Condition is Satisfied
District Judge Enters Judgment for Plaintiff in Microbot 16(b) Action
Judge Considers Referring Insider to SEC for Potentially False Information in Form 4
Rule 16b-3's Board Approval Exemption Does Not Require the Affirmative Vote of Every Director
District Court Upholds Private Settlement of 16(b) Claim
All Litigation Summaries
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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
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Sample Item 405 Disclosures - Delinquent Section 16 Filings
Electronic Filing
Section 16 Filer
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Section 16 Disclosure on Corporate Websites
Section 16 Updates
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Explore in detail cases and materials mentioned in each issue of Section 16 Updates.
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