ALEXANDER R CASTALDI stock holdings and net worth by SEC Form 4 filings Mar, 2024 (2024)

FAQs

Where can I find SEC Form 4 filings? ›

Forms 3, 4, and 5 are publicly available through the SEC's EDGAR database at www.sec.gov/ edgar/searchedgar/webusers.

Form 4 is required to be filed by a company or the individual at the company when there is a change in the holdings of company insiders. Form 4 must be filed with the SEC within two days of the transaction.

In particular, Form 144 must only be filed if an investor plans to sell more than 5,000 shares or $50,000 of total stock. Form 4 must be filed when an affiliate actually trades control stock.

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.

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.

Form 4 filings can potentially provide investors with trading signals. Insiders have an information advantage over other investors and studies show a link between their trades and stock performance. A Form 4 filing that shows a significant purchase or sale can be a good starting point to further investigate a stock.

The ATF says a Form 4 is “Typically submitted for a transfer to an individual or legal entity such as a trust.” When you use the ATF Form 4, it is because you have purchased an NFA item from a dealer or individual, and are applying for the tax stamp and notifying the ATF of the purchase and transfer.

Form S-4 is the registration statement that the Securities and Exchange Commission (SEC) requires reporting companies to file in order to publicly offer new securities pursuant to a merger or acquisition.

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).

What happens if Form 4 is filed late? ›

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.

Form 144 is a mandatory SEC filing for those intending to sell restricted or control securities. Restricted securities stem from private sales, whereas control securities belong to affiliates such as directors or large shareholders.

Institutional Ownership Percentage

As more institutions take ownership in a stock, the more stable the price tends to be.

Finding Ownership Information: The American Perspective

This is primarily because any shareholder who owns more than 5% of a public company's shares is mandated to report the ownership. This information can be accessed through the Securities and Exchange Commission's (SEC) EDGAR database.

High insider ownership typically signals confidence in a company's prospects and ownership in its shares. This, in turn, gives the company's management an incentive to make the company profitable and maximize shareholder value.

SEC filings (mid-1990s to present) are freely available from EDGAR (Electronic Data Gathering, Analysis and Retrieval). Most of our resources for company financials also provide SEC filings. These include: D&B Hoovers: From a company record, select Advanced > SEC Filings.

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

All companies, foreign and domestic, are required to file registration statements, periodic reports, and other forms electronically through EDGAR. Anyone can access and download this information for free.

You may go right to the Security & Exchange Commission's (SEC) EDGAR database. "Search for Company Filings" is the most popular search.