Links & Forms
RDG FILINGS FORMS
Securities & Exchange Commission Forms
To Obtain New Filing Codes:
Form Templates
- Form 3 – Initial Statement of Beneficial Ownership of Securities (PDF)
- Form 3 – Initial Statement of Beneficial Ownership of Securities (Microsoft Word)
- Form 4 – Statement of Changes in Beneficial Ownership of Securities (PDF)
- Form 4 – Statement of Changes in Beneficial Ownership of Securities (Microsoft Word)
- Form 5 – Annual Statement of Changes in Beneficial Ownership of Securities (PDF)
- Form 5 – Annual Statement of Changes in Beneficial Ownership of Securities (Microsoft Word)
- Section 16 Form Transaction Code Definitions
- Form 12b – 25 – Notification of Late Filing (PDF)
- Form 12b – 25 – Notification of Late Filing (Microsoft Word)
| Transaction Code Definitions | |
|---|---|
| Code | Definition |
| A | Grant, award or other acquisition pursuant to Rule 16b-3(d) |
| C | Conversion of derivative security |
| D | Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) |
| E | Expiration of short derivative position |
| F | Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 |
| G | Bona fide gift |
| H | Expiration (or cancellation) of long derivative position with value received |
| I | Discretionary transaction in accordance with Rule 16b-3(f) resulting in acquisition or disposition of issuer securities |
| J | Other acquisition or disposition (describe transaction) |
| L | Small acquisition under Rule 16a-6 |
| M | Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 |
| O | Exercise of out-of-the-money derivative security |
| P | Open market or private purchase of non-derivative or derivative security |
| S | Open market or private sale of non-derivative or derivative security |
| U | Disposition pursuant to a tender of shares in a change of control transaction |
| W | Acquisition or disposition by will or the laws of descent and distribution |
| X | Exercise of in-the-money or at-the-money derivative security |
| Z | Deposit into or withdrawal from voting trust |