17 C.F.R. § 249.105   Form 5, annual statement of beneficial ownership of securities.

Title 17 - Commodity and Securities Exchanges

Title 17: Commodity and Securities Exchanges
Subpart B—Forms for Reports To Be Filed by Officers, Directors, and Security Holders

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§ 249.105   Form 5, annual statement of beneficial ownership of securities.

This Form shall be filed pursuant to Rule 16a–3 (§240.16a–3 of this chapter) for annual statements of beneficial ownership of securities. The Commission is authorized to solicit the information required by this Form pursuant to sections 16(a) and 23(a) of the Securities Exchange Act of 1934 (15 U.S.C. 78p(a) and 78w(a)); sections 17(a) and 20(a) of the Public Utility Holding Company Act of 1935 (15 U.S.C. 79q(a) and 79t(a)); and sections 30(h) and 38 of the Investment Company Act of 1940 (15 U.S.C. 80a–29(h) and 80a–37), and the rules and regulations thereunder. Disclosure of information specified on this Form is mandatory, except for disclosure of the I.R.S. identification number by entities, which is voluntary. If such numbers are furnished, they will assist the Commission in distinguishing reporting persons with similar names and will facilitate the prompt processing of the Form. The information will be used for the primary purpose of disclosing the transactions and holdings of officers, directors and beneficial owners of registered companies. Information disclosed will be a matter of public record and available for inspection by members of the public. The Commission can use the information in investigations or litigation involving the federal securities laws or other civil, criminal, or regulatory statutes or provisions, as well as for referral to other governmental authorities and self-regulatory organizations. Failure to disclose required information may result in civil or criminal action against persons involved for violations of the federal securities laws and rules.

[56 FR 7274, Feb. 21, 1991]

Editorial Note:  For Federal Register citations affecting Form 5, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and on GPO Access.

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