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.
Form 25 vs Form 15: delisting vs deregistration
Form 25 vs Form 15: the Form 25 removes a stock from an exchange under Section 12(b); the Form 15 ends SEC reporting under 12(g) or 15(d). How they differ. Not advice.
What is a Form S-3 filing? Shelf registration guide (2026)
A Form S-3 is the SEC short-form registration seasoned US companies use to shelf-register securities. Eligibility, how shelf takedowns work, and WKSI status. Not advice.
What is a Schedule 13E-3 filing? Going-private guide (2026)
A Schedule 13E-3 is the SEC filing a company and its affiliates make in a going-private transaction, disclosing whether the deal is fair to unaffiliated holders. 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.
The Smart Money Digest
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