一个基金公司如果拥有一个公司的股份超过5%以后要向SEC通报,但必须在几天之内向
SEC通报呢?
也就是平常在SEC网站上查到的 SC 13G 表 (Statement of acquisition of
beneficial ownership by individuals)一般是滞后了几天呢?
k********n 发帖数: 18523
2
10 days
地球人都知道,知道的不是大牛,但是不知道的就是傻瓜了。。。呵呵
H********i 发帖数: 699
3
刚才google了一下,好像你说的不对。
Schedule 13G must be filed within 45 days of the end of the calendar year in
which the qualified institutional investor exceeds the 5% threshold. Going
forward, amendments are required on an annual basis. Amendments are also
required within 10 days after the end of a month in which beneficial
ownership exceeds 10% or more and within 10 days after the end of a month
when ownership increases or decreases by at least 5%.
link 在这里: http://www.ria-compliance-consultants.com/form13f_section_13d_schedule_13g.html#11