Securities and Exchange Commission (SEC), Schedule 13D, Institutional Investors

Making Sure Newly Cautious Shareholders Get the Information They Want

Skadden, Arps, Slate, Meagher & Flom LLP on 5/16/2025

Key Points - Revised guidance from the SEC regarding ownership reporting is making institutional investors circumspect about raising issues with management. - Seeking to influence a company’s executive compensation, or...more

SEC Updates CDIs on Schedules 13D and 13G Eligibility

Fenwick & West LLP on 3/28/2025

The SEC published updated Compliance and Disclosure Interpretations on the filing of Schedules 13D and 13G/Shareholder Engagement....more

Schedule 13G – Preparing for the New Reporting Deadlines

Cadwalader, Wickersham & Taft LLP on 8/19/2024

On October 10, 2023, the U.S. Securities and Exchange Commission (“SEC”) adopted amendments to rules promulgated under Sections 13(d) and 13(g) of the Securities Exchange Act of 1934, as amended (the “Exchange Act”),...more

SEC Adopts Amendments to 13D/G Beneficial Ownership Requirements

Latham & Watkins LLP on 10/12/2023

On October 10, 2023, the SEC adopted amendments to shorten the filing deadlines for initial and amended beneficial ownership reports on Schedules 13D and 13G. The amendments will generally take effect no earlier than January...more

SEC’s Proposals to Modernize Beneficial Ownership Reporting May Complicate Enforcement of REIT Charter Ownership Limitations

Goodwin on 5/10/2022

On February 10, 2022, the U.S. Securities and Exchange Commission (“SEC”) proposed amendments designed to modernize the rules governing beneficial ownership reporting. Section 13 of the Securities Exchange Act of 1934, as...more

SEC Proposes Amendments to Beneficial Ownership Reporting Rules

Morgan Lewis on 2/16/2022

The US Securities and Exchange Commission proposed amendments on February 10 with respect to reporting beneficial ownership on Schedules 13D and 13G that, if adopted as proposed, would significantly shorten the period for...more

Blog: SEC-NYU Dialogue on Securities Markets focuses on shareholder engagement

Cooley LLP on 1/26/2018

While the topic of last week’s fourth SEC-NYU Dialogue on Securities Markets was shareholder engagement—focusing on the roles of institutional and activist investors— the real hot topic was the recent letter to CEOs from...more

Securities and Exchange Commission (SEC) › Schedule 13D › Institutional Investors