Clifford E Berman stock holdings and net worth by SEC Form 4 filings Mar, 2024 (2024)

FAQs

Where can I find Form 4 filings? ›

Forms 3, 4, and 5 are publicly available through the SEC's EDGAR database at www.sec.gov/ edgar/searchedgar/webusers. htm. In addition to the SEC's EDGAR database, there also are many third-party websites that offer insider ownership and transaction information.

Form 4 filings can help investors identify transactions that top corporate insiders such as CEOs, CFOs, and Chairmen have made in US publicly listed companies. This is valuable because corporate insiders have a genuine information advantage over other investors.

SEC Form 4: Statement of Changes in Beneficial Ownership is a document that must be filed with the Securities and Exchange Commission (SEC) whenever there is a material change in the holdings of company insiders.

SEC Form S-4 is filed with the SEC by a public company to register any material information related to a mergers and acquisitions deal. The Security & Exchange Commission's Rule 144 regulates the resale of restricted or unregistered securities.

It simply indicates that an insider traded shares — and doing so is not necessarily illegal. Form 4 filings are publicly available through the Securities and Exchange Commission's Electronic Data Gathering, Analysis, and Retrieval system — EDGAR.

Form 4 filings include information about the insider, their relationship to the company and its securities, the type of transaction that occurred, and the amount and type of securities involved. A failure to file Form 4 timely must be reported in proxy statements or 10-Ks and can lead to fines.

The Form 4 is used anytime an NFA Firearm is transferred to a non-FFL – it is used to pay the transfer tax as well as apply for permission to possess the NFA Firearm. When approved, it is returned from the ATF with a tax stamp.

Anyone who is a Section 16 insider of a reporting company must file a Form 4 with the SEC under Section 16 of the Exchange Act to report any changes in the filer's beneficial ownership of any class of the company's equity securities after the filer executes a transaction.

Form 4 is filed by a current qualified federal firearms licensee (FFL) registrant to transfer an NFA weapon to an individual or other entity (non-licensee).

Companies must file Form S-4 with the Securities and Exchange Commission whenever they are about to go through a merger or acquisition transaction. It is also used to alert the financial regulator when companies tender a stock offering. For instance, they must file the form when they offer securities in place of cash.

How does an executive report a grant of restricted stock on SEC Form 4? ›

A grant of restricted stock is reported in Table I with transaction code A within two business days of the grant date. No separate filing is made at vesting for restricted stock, unless any stock is withheld or surrendered to cover withholding.

· Who is an insider? An “insider” is an officer, director, 10% stockholder and anyone who possesses inside information because of his or her relationship with the Company or with an officer, director or principal stockholder of the Company.

In general, Form 4 tells you what insiders are doing with their holdings, and you can use that information to inform your own decisions about whether to invest. For more information on the specifics of Form 4, you can see the instructions of the SEC website here (link opens PDF).

A Form 4 must be filed before the end of the second business day following a change in ownership of securities or derivative securities (including the exercise or grant of stock options) for individuals subject to Section 16 of the Securities Exchange Act of 1934.

For example, a Form 4 is used when a consumer purchases an item (such as a suppressor), online, or through a Powered By Silencer Shop dealer. If the suppressor was manufactured and shipped ready to use, you would use a Form 4. If you're building the suppressor yourself using pieces and parts, you would file a Form 1.

Yes, SEC filings are public information and can be retrieved for free via the EDGAR system online.

Personal computer users may download forms and publications from the IRS Web site at www.irs.gov/forms_pubs/index.html. This site also has links to state tax forms and to forms that you can fill in online and then print.

Downloading from IRS Forms & Publications page. Picking up copies at an IRS Taxpayer Assistance Center. Going to the IRS Small Business and Self-Employed Tax Center page. Requesting copies by phone — 800-TAX-FORM (800-829-3676).

You can search for and retrieve Form 13F filings using the SEC's EDGAR database. To find the filings of a particular money manager, enter the money manager's name in the Company Name field. To see all recently filed 13Fs, use the "Latest Filings" search function and enter "13F" in the Form Type box.