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Alan Dye's Section16.net Blog
Webcast Archive:
"Alan Dye on the Latest Section 16 Developments"
(1/25/2023)
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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
Other Memos/Articles
Romeo and Dye's Section 16 Compliance Chart
Sample Compliance Forms and Materials
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:
Court Dismisses Complaint Alleging that Investors in Same Private Placement Were a Group
Amendment to Floor and Cap Prices in Variable Prepaid Forward Contract Not a "Sale"
Adult Daughter's Purchase May be Attributable to Insider
New York Judge Transfers Venue in Section 16(b) Action to California
Dueling Plaintiffs File Separate 16(b) Complaints
Longtime Section 16(b) Plaintiff Passes Away
All Litigation Summaries
Recent Discussions in the
Section 16 Q&A Forum
:
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
Download the latest version, read FAQs, get help and support.
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
Access the back issues of Peter Romeo and Alan Dye's Section 16 Updates, in word-searchable format, from the inaugural issue in 1991 through last year.
Alerts
Latest developments affecting compliance community (but blog above has much more)
Comprehensive Treatise
Section 16 Treatise & Reporting Guide
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SEC Rules & Guidance
Statutes & Rules
Staff Section 16 Compliance & Disclosure Interpretations
Staff FAQs: Section 16 Electronic Filing
Staff Section 16 No-Action Letters
The Essential Resources
CompensationStandards.com
DealLawyers.com
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NASPP
TheCorporateCounsel.net
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Section 16 Annual Service
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Romeo & Dye's "Section 16 Treatise"
Big Legal Minds
Section 16 Bootcamp & Tales
Deal U. Workshop