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form 3

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Financial Dictionary

Form 3

A document that must be filed with the Securities and Exchange Commission (SEC) by an insider affiliated with a public company's operation or by any investor owning 10% or more of the company's outstanding shares.

Investopedia Commentary

This document must be filed with the SEC no later than 10 days after an insider becomes affiliated with a company, and it must be filed for each company in which a person is an insider, regardless of whether or not the insider has an equity position in the company at that time.

Related Links

Policing The Securities Market: An Overview Of The SEC
Keeping An Eye On The Activities Of Insiders And Institutions
Uncovering Insider Trading

See also: Form 4, Form 5, Insider, Insider Trading, Securities & Exchange Commission - SEC

Investopedia.com. Copyright © 1999-2005 - All rights reserved. Owned and Operated by Investopedia Inc.
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Financial Dictionary

Form 3

An SEC form that directors, officers, and holders of 10% or more of a firm's stock are required to file. This form requires disclosure of all shares and all securities convertible into shares that are directly or beneficially owned by these people.

Wall Street Words: An A to Z Guide to Investment Terms by David L. Scott.
Copyright © 2003. Published by Houghton Mifflin.
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