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This document is a Schedule 13D filing under the Securities Exchange Act of 1934, detailing the beneficial ownership of shares by Samuel G. Rose and Julie Walters in Axion International Holdings,
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How to fill out schedule 13d
How to fill out SCHEDULE 13D
01
Obtain a copy of Schedule 13D from the SEC website or through a financial advisor.
02
Fill in the cover page with identifying details such as the name and address of the filer.
03
Provide information about the class of securities to which the filing pertains.
04
Disclose the purpose of the transaction and any plans for the issuer.
05
Include details about the securities owned, including the number of shares and percentage ownership.
06
List any contracts, arrangements, or understandings related to the securities.
07
Provide any relevant financial information or material contracts connected to the ownership.
08
Sign and date the document, ensuring all information is accurate and complete.
09
File Schedule 13D electronically with the SEC and distribute copies as required.
Who needs SCHEDULE 13D?
01
Investors who own more than 5% of a registered class of a company's equity securities.
02
Individuals or entities seeking to acquire significant control over a public company.
03
Investment managers and hedge funds that engage in significant purchases or acquisitions.
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People Also Ask about
What does 13D mean in the stock market?
Schedule 13D is a required SEC filing for entities acquiring more than 5% of the stock of a public company. It can signal an imminent corporate takeover. Significant information in the 13D includes the source of the funds used for the purchase.
What is the purpose of Schedule 13D?
Form uses. 13D filings allow the investing public to see who a public company's large shareholders are, and, perhaps more importantly, why they have an interest in the company. These filings may be a precursor to hostile takeovers, company breakups, and other "change of control" events.
What is the difference between 13D and 13G filing?
The Securities and Exchange Commission (SEC) Schedule 13G form is an alternative filing for the Schedule 13D form and is used to report a party's ownership of stock which exceeds 5% of a company's total stock issue. Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
What is Form 13D filing with the SEC?
Individuals and entities are required to file their 13D & 13G disclosure within a 10-day period of becoming the owner of 5% or more shares. In the case of 13G, individuals and entities may have up to 45 days after year-end to file if their ownership remains below 10% or if there was no material change in ownership.
What is the Schedule 13D?
Schedule 13D is an SEC filing that must be submitted to the US Securities and Exchange Commission within 10 days by anyone who acquires beneficial ownership of more than 5% of any class of publicly traded securities in a public company.
Is 13D filing good or bad?
Key Takeaways. Schedule 13D is a required SEC filing for entities acquiring more than 5% of the stock of a public company. It can signal an imminent corporate takeover.
What triggers a 13D filing?
Schedule 13D is a form that must be filed with the U.S. Securities and Exchange Commission (SEC) when a person or group acquires more than 5% of a voting class of a company's equity shares.
What is a 13D in practical law?
Schedule 13D is filed by a person that acquires more than 5% of a voting class of a company's equity securities registered under Section 12 of the Exchange Act and who does not otherwise qualify to file a short-form report on Schedule 13G.
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What is SCHEDULE 13D?
SCHEDULE 13D is a form that must be filed with the SEC by anyone who acquires more than 5% of a company's equity securities. It provides detailed information about the acquirer and their intentions regarding the company.
Who is required to file SCHEDULE 13D?
Any person or entity that acquires beneficial ownership of more than 5% of a class of a company's equity securities must file SCHEDULE 13D with the SEC.
How to fill out SCHEDULE 13D?
To fill out SCHEDULE 13D, you must provide information such as the identity of the filer, the source and amount of funds used for the acquisition, any contracts or arrangements regarding the securities, and details about the issuer of the securities.
What is the purpose of SCHEDULE 13D?
The purpose of SCHEDULE 13D is to inform the public and the SEC about significant changes in ownership stakes of publicly traded companies, which can indicate potential changes in control.
What information must be reported on SCHEDULE 13D?
SCHEDULE 13D must report the identities of the filer and any affiliates, the number of shares owned, the purpose of the acquisition, the source of funds, and any plans that the filer has to influence the company's management or policies.
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