Definition: Form 13D mandates disclosure by any individual or entity acquiring beneficial ownership of more than 5% of a class of equity securities.
Example: Key components of Form 13D include the security and issuer, the buyer’s identity and background, the source of funds, the purpose of the transaction, and the exact number and percentages of shares owned.
Explore IVP Regulatory Reporting Solution
The IVP Regulatory Reporting Solution can automatically identify compliance thresholds for Form 13D as well as create reports for delivery to regulators. It is designed to help buy-side firms manage a complex slate of filings, disclosures, and trade reports in an increasingly strict regulatory environment. The solution meets this challenge by eliminating fragmented processes, enhancing accuracy, and reducing operating costs through end-to-end automation across global regulatory filings.
