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 3 initial statements of beneficial ownership under Section 16(a) of the Securities Exchange Act of 1934. We prepare Form 3 and related supporting materials based on the ownership information and specific instructions you provide.
Documents Commonly Prepared
We prepare documents associated with a Form 3 filing, including:
Form 3 (Initial Statement of Beneficial Ownership of Securities): Completion of the initial report disclosing the reporting person’s relationship to the issuer, the date of the event requiring the statement, and beneficial ownership of equity securities (non-derivative securities in Table I and derivative securities in Table II) as of that date, based on the information you supply.
Amendments (Form 3/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 3 is the initial statement of beneficial ownership required under Section 16(a) of the Exchange Act when a person becomes a director, officer, or beneficial owner of more than 10% of a class of registered equity securities; it is generally due within 10 calendar days of the triggering event (or no later than the effective date of the registration statement when an issuer first registers under Section 12); the form must be filed even if the reporting person beneficially owns no securities; clients remain fully responsible for determining the filing obligation, the accuracy and completeness of all ownership information, timely EDGAR filing, and compliance with Section 16 and SEC requirements.
