Syndicate Legal Advisory Services provides nationwide legal document preparation services for officers, directors, and beneficial owners of more than 10% of a class of equity securities of public companies preparing Form 5 annual statements of changes in beneficial ownership under Section 16(a) of the Securities Exchange Act of 1934. We prepare Form 5 and related supporting materials based on the transaction and ownership information and specific instructions you provide.
Documents Commonly Prepared
We prepare documents associated with a Form 5 filing, including:
Form 5 (Annual Statement of Changes in Beneficial Ownership): Completion of the annual report disclosing certain holdings and transactions not previously reported on Forms 3, 4, or 5 (including certain exempt transactions eligible for deferred reporting and any previously unreported transactions), based on the information you supply.
Amendments (Form 5/A): Preparation of amended forms incorporating updates or corrections, based on the corrected or updated details you provide.
Related Supporting Materials: Organization of any accompanying documentation or information referenced in the form, based on the materials you supply.
Documents are prepared for electronic filing through the SEC’s EDGAR system. Form 5 is the annual statement of changes in beneficial ownership required under Section 16(a) of the Exchange Act for persons who were subject to Section 16 at any time during the issuer’s fiscal year, to report certain transactions eligible for deferred reporting and any transactions that should have been reported earlier but were not; it is generally due within 45 calendar days after the end of the issuer’s fiscal year; no Form 5 is required if all reportable transactions have previously been reported; clients remain fully responsible for determining the filing obligation, the accuracy and completeness of all transaction and ownership information, timely EDGAR filing, and compliance with Section 16 and SEC requirements.
