05 Oct 2021
The 8-K Mambo Section 5: Form 8-K Preparation for a Section 5 Event
Section 5 of Form 8-K covers changes in control, director departures and elections, amendments to articles of incorporation or bylaws, trading suspensions, and other important corporate events. Use this practice note to understand a client’s disclosure obligations when one of the covered events occurs.
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- Form 8-K, Item 5.02 Checklist
Reference disclosure requirements for departing or elected directors, officer appointments, and compensatory arrangements for certain officers.
- Form 8-K Preparation for a Section 3 or Section 4 Event
Disclose listing standards issues, unregistered equity sales, and changes to securityholder rights.
- Form 8-K Reportable Transactions and Filing Deadlines Reference Chart
Know what transactions to include in, and when to file, a Form 8-K.
- Antitrust Approvals Clause (Form 8-K)
Disclose the state or outcome of the antitrust approval process for a client’s merger or acquisition.
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