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 a Form 15 filing? SEC deregistration guide (2026)
A Form 15 is the SEC filing a company uses to deregister and suspend its reporting duties, often called going dark. Thresholds, timing, and what it means. Not advice.
What is a Form N-PX filing? Proxy-voting record guide (2026)
A Form N-PX is the SEC filing where funds and large managers disclose how they voted proxies, including say-on-pay. What it reports and when it is due. Not advice.
What is an ESOP? SEBI employee stock option guide (2026)
An ESOP is an employee stock option plan. How ESOPs work for listed Indian companies under SEBI's 2021 SBEB Regulations, and where they show up in filings. Not advice.
S-1 vs S-3: the two SEC registration forms
S-1 vs S-3: the S-1 is the long-form registration used for an IPO, the S-3 the short-form shelf that seasoned reporting companies use. How the two differ. Not advice.
Schedule 13E-3 vs Form 15: going private vs going dark
Schedule 13E-3 vs Form 15: a 13E-3 covers a going-private buyout with a fairness statement; a Form 15 is a quiet deregistration. How the two exits differ. Not advice.
Form 4 vs Form 144: insider report vs sale notice
Form 4 vs Form 144: a Form 4 reports an insider trade after it happens; a Form 144 is an affiliate's advance notice of intent to sell. How the two SEC filings differ. Not advice.
What is a Schedule 13G filing? A plain guide (2026)
A Schedule 13G is the short-form SEC filing passive holders of over 5% of a US company file. Who files it, the 2024 deadlines, and how it differs from a 13D. Not advice.
What is a Form 5 filing? SEC insider annual report
A Form 5 filing is the annual SEC report of insider trades exempt from or missed on Form 4. Who files it, the 45-day deadline, and when it is not needed. Not advice.
What is an N-PORT filing? Fund holdings, explained
An N-PORT filing is a US fund's SEC portfolio-holdings report. What it discloses, the 60-day public lag, and how the delayed 2024 monthly rule works. Not advice.
What is a 6-K filing? Foreign issuer reports (2026)
A 6-K filing is how a foreign private issuer relays home-country news to the SEC. What it covers, why it is furnished not filed, and how it differs from an 8-K. Not advice.
What is Form D? SEC private placement notice
Form D is the brief SEC notice a company files after a Regulation D private placement. Who files it, the 15-day deadline, and what it does and does not mean. Not advice.
Schedule 13D vs 13G: activist vs passive filings
Schedule 13D vs 13G: both trigger at 5% of a US company, but one is for activists and one for passive holders. The deadlines, the intent test, and what each shows. Not advice.
The Smart Money Digest
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