Flock blog
Reading regulatory filings, sourced and dated.
Plain-English guides to the public filings Flock tracks: 13F reports, NSE and BSE shareholding patterns, bulk and block deals, and FII/DII flows. Every claim links to its source. Research, not advice.
What is 13F confidential treatment? Delayed disclosure
13F confidential treatment lets a manager ask the SEC to omit certain holdings from a public Form 13F while a request is reviewed. What it means and where to check. Not advice.
13F-HR vs 13F-NT: holdings report vs notice
13F-HR vs 13F-NT: the 13F-HR is the SEC holdings report that lists a manager's 13(f) positions; the 13F-NT is a notice that another manager reports them. Not advice.
What are system-driven disclosures (SDD)? SEBI
System-driven disclosures are SEBI disclosures under the PIT and SAST rules generated automatically by depositories and exchanges from shareholding data, not filed by hand. Not advice.
What is a record date? Corporate action cut-off
A record date is the cut-off date a company sets to decide which shareholders are eligible for a dividend, bonus, split, or rights issue, under SEBI LODR Regulation 42. Not advice.
Record date vs ex-date: corporate action eligibility
Record date vs ex-date: the record date fixes who is on the register for a corporate action; the ex-date is the first day the share trades without it. How they line up in India. Not advice.
What is Form MGT-7? Company annual return (MCA)
Form MGT-7 is the annual return an Indian company files with the Registrar under Section 92, listing shareholders, directors, and share transfers, within 60 days of the AGM. Not advice.
What is Form AOC-4? Company financials (MCA)
Form AOC-4 is the filing an Indian company uses to submit its financial statements to the Registrar under Section 137, within 30 days of the AGM, on the MCA21 portal. Not advice.
MGT-7 vs AOC-4: annual return vs financials
MGT-7 vs AOC-4: Form MGT-7 is a company's annual return of shareholders and directors; Form AOC-4 is its financial statements. Different sections, deadlines, and content. Not advice.
What is a Form 1-K filing? Reg A annual report
A Form 1-K filing is the annual report a Regulation A Tier 2 issuer files with the SEC within 120 days of year-end, with audited financials. Not advice.
What is a Form 1-U filing? Reg A current report
A Form 1-U filing is the current report a Regulation A Tier 2 issuer files with the SEC within four business days of a triggering event. Not advice.
What is a Form N-MFP filing? MMF holdings
A Form N-MFP filing is the monthly portfolio report a money market fund files with the SEC, by the fifth business day of each month, on EDGAR. Not advice.
What is a Total Return Index (TRI)?
A Total Return Index (TRI) counts price change plus reinvested dividends. SEBI made Indian mutual funds benchmark to TRI from February 2018. Not advice.
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