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Taking Stock Episode 25 - Annual Filing Requirements, and What's a Record Holder?
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This week on Taking Stock, Chives was joined by Lawson and 6days to discuss the idea of a record holder and what sort of requirements existed for annual reports such as the 10K. This topic came up because GameStop’s 2023 10K had recently released and the record holder information was missing.
We reviewed the language and predicted we’d have to see an amendment within about 40 days – but as luck would have it, later in the evening after recording, the amendment was filed. Still a great conversation! Check the links below for relevant legal citation.
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Twitter/X Link:
https://twitter.com/i/spaces/1gqGvQbAwlRKB
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Join us on Discord - https://mee6.xyz/en/i/vYJSX1ghMl
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Links and Resources:
10-K Reporting Guidelines
https://www.sec.gov/files/form10-k.pdf
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CFR Legal Code on Disclosure "Set forth the approximate number of holders of each class of common equity of the registrant as of the latest practicable date."
https://www.law.cornell.edu/cfr/text/17/229.201
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