Tag Archives: 13G

UN – PRI Schedule 13(D), 13(G) Substantial Shareholding Reporting

On 22 April 2025, UN PRI issued policy briefing re disclosure reporting. UN PRI issued policy briefing, FAQ discussing schedule 13(D) and 13(G) reporting. Provided high-level overview of a specific regulatory provision of US SEC governing filings for investors with substantial shareholding of  5% or more of any class of company’s outstanding stock. Follows February,…
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U.S. – SEC Adopts Changes to Major Shareholding Reporting

On 10 October 2023, the SEC issued confirmation that it is adopting amendments to the rules governing major shareholding reporting that had been proposed. The key changes from these amendments are: (a) reduction in the deadlines for disclosures of 13D and 13G Reports; (b) disclosure of cash settled securities; (c) clarification on the criteria for…
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U.S. – SEC Fines for 13G Reporting Failure

On 20 July 2023, SEC fined Monroe Capital Management failure to file 13G disclosing beneficial ownership . SEC reported that it charged Monroe Capital Management Advisors, LLC for failing to disclose special purpose acquisition company (SPAC)-related conflicts of interest. Failed to disclose SPAC conflicts regarding its personnel’s ownership of SPAC sponsors. Allegations Monroe Capital Management…
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