Book - Looseleaf

Practical Guide to Section 16, Fourth Edition

Practical Guide To Section 16, Fourth Edition by Stanton P. Eigenbrodt, General Editor

Practical Guide to Section 16, Fourth Edition

Edited by Stanton P. Eigenbrodt
Update Frequency
Last Update
Product Line
Wolters Kluwer Legal & Regulatory U.S.
Available formats


Rely on the expertise of 15 securities professionals for everything you need to know and do under the Section 16 rules. Compliance is easy with this convenient manual to guide you step-by-step through every phase of the Section 16 reporting scheme.

In A Practical Guide to Section 16, you'll find detailed answers to such questions as:

  • Must a plan be "tax qualified" to take advantage of Rule 16b-3?
  • Is shareholder approval required to exempt plan transactions?
  • What is a non-employee director for purposes of the rules?
  • What is a "discretionary transaction" under the rules?
  • Is it possible to "mix and match" exemptions?
  • Are any of the pre-1991 Section 16 rules still in effect?
  • How is a beneficial ownership group determined?
  • How are derivative securities treated in acquisitions?

A Practical Guide to Section 16 also supplies such helpful materials as:

  • Forms 3, 4, and 5 filled out under more than 25 different scenarios
  • An abundance of examples illustrating the effect of the rules
  • The full text of revised Section 16 and relevant SEC adoptive releases
  • A detailed compliance timetable to assist in planning and meeting deadlines.

ISBN: 9780735541122
SKU: 10046191-7777
  1. An Overview of the Rules Under Section 16 of the Securities Exchange Act of 1934
  2. Definitions of Terms
  3. The Reporting Scheme
  4. Disclosure Requirements Required Disclosure Under Item 405
  5. Compliance Procedures and Programs
  6. Tax-Conditioned Plans
  7. Executive Compensation Plans
  8. The Treatment of Trusts
  9. Tax Implications
  10. Merger an Acquisition Implications
  11. Pre-IPO Planning to Avoid Retroactive Effects of Section 16