# 17 CFR § 249.105: Form 5, annual statement of beneficial ownership of securities

> Federal · Regulations · In force

URL: https://www.frixlaw.com/law-library/statutes/ecfr-17-249.105

## Section

- **Citation:** 17 CFR § 249.105
- **Heading:** Form 5, annual statement of beneficial ownership of securities
- **Jurisdiction:** Federal
- **Kind:** Regulations
- **Status:** In force
- **Text as of:** September 22, 2026
- **Source:** Publisher's official text
- **Location:** Title 17—Commodity and Securities Exchanges > CHAPTER II—SECURITIES AND EXCHANGE COMMISSION > PART 249—FORMS, SECURITIES EXCHANGE ACT OF 1934 > Subpart B—Forms for Reports To Be Filed by Officers, Directors, and Security Holders

## Text

This Form shall be filed pursuant to Rule 16a-3 (§ 240.16a-3 of this chapter) for annual statements of beneficial ownership of securities. The Commission is authorized to solicit the information required by this Form pursuant to sections 16(a) and 23(a) of the Securities Exchange Act of 1934 (15 U.S.C. 78p(a) and 78w(a)); and sections 30(h) and 38 of the Investment Company Act of 1940 (15 U.S.C. 80a-29(h) and 80a-37), and the rules and regulations thereunder. Disclosure of information specified on this Form is mandatory. The information will be used for the primary purpose of disclosing the holdings of directors, officers and beneficial owners of registered companies. Information disclosed will be a matter of public record and available for inspection by members of the public. The Commission can use the information in investigations or litigation involving the federal securities laws or other civil, criminal, or regulatory statutes or provisions, as well as for referral to other governmental authorities and self-regulatory organizations. Failure to disclose required information may result in civil or criminal action against persons involved for violations of the federal securities laws and rules.
[56 FR 7274, Feb. 21, 1991, as amended at 72 FR 45112, Aug. 10, 2007]
Editorial Note:For Federal Register citations affecting Form 5, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.govinfo.gov.

## Nearby sections

- [17 CFR § 249.1 § 249.1 Form 1, for application for, and amendments to applications for, registration as a national securities exchange or exemption from registration pursuant to Section 5 of the Exchange Act.](https://www.frixlaw.com/law-library/statutes/ecfr-17-249.1.md)
- [17 CFR § 249.10 § 249.10 Form 1-N for notice registration as a national securities exchange.](https://www.frixlaw.com/law-library/statutes/ecfr-17-249.10.md)
- [17 CFR § 249.11 § 249.11 Form R31 for reporting covered sales and covered round turn transactions under section 31 of the Act.](https://www.frixlaw.com/law-library/statutes/ecfr-17-249.11.md)
- [17 CFR § 249.25 § 249.25 Form 25, for notification of removal from listing and/or registration.](https://www.frixlaw.com/law-library/statutes/ecfr-17-249.25.md)
- [17 CFR § 249.26 § 249.26 Form 26, for notification of the admission to trading of a substituted or additional class of security under Rule 12a-5 (§ 240.12a-5 of this chapter).](https://www.frixlaw.com/law-library/statutes/ecfr-17-249.26.md)
- [17 CFR § 249.103 § 249.103 Form 3, initial statement of beneficial ownership of securities.](https://www.frixlaw.com/law-library/statutes/ecfr-17-249.103.md)
- [17 CFR § 249.104 § 249.104 Form 4, statement of changes in beneficial ownership of securities.](https://www.frixlaw.com/law-library/statutes/ecfr-17-249.104.md)
- [17 CFR § 249.105 § 249.105 Form 5, annual statement of beneficial ownership of securities.](https://www.frixlaw.com/law-library/statutes/ecfr-17-249.105.md)
- [17 CFR § 249.208a § 249.208a Form 8-A, for registration of certain classes of securities pursuant to section 12 (b) or (g) of the Securities Exchange Act of 1934.](https://www.frixlaw.com/law-library/statutes/ecfr-17-249.208a.md)
- [17 CFR § 249.210 § 249.210 Form 10, general form for registration of securities pursuant to section 12(b) or (g) of the Securities Exchange Act of 1934.](https://www.frixlaw.com/law-library/statutes/ecfr-17-249.210.md)
- [17 CFR § 249.218 § 249.218 Form 18, for foreign governments and political subdivisions thereof.](https://www.frixlaw.com/law-library/statutes/ecfr-17-249.218.md)
- [17 CFR § 249.220f § 249.220f Form 20-F, registration of securities of foreign private issuers pursuant to section 12(b) or (g), annual and transition reports pursuant to sections 13 and 15(d), and shell company reports required under Rule 13a-19 or 15d-19 (§ 240.13a-19 or § 240.15d-19 of this chapter).](https://www.frixlaw.com/law-library/statutes/ecfr-17-249.220f.md)
- [17 CFR § 249.240f § 249.240f Form 40-F, for registration of securities of certain Canadian issuers pursuant to section 12(b) or (g) and for reports pursuant to section 15(d) and Rule 15d-4 (§ 240.15d-4 of this chapter).](https://www.frixlaw.com/law-library/statutes/ecfr-17-249.240f.md)
- [17 CFR § 249.250 § 249.250 Form F-X, for appointment of agent for service of process by issuers registering securities on Form F-8, F-9, F-10 or F-80 (§ 239.38, 239.39, 239.40 or 239.41 of this chapter), or registering securities or filing periodic reports on Form 40-F (§ 249.240f of this chapter), or by any issuer or other non-U.S. person filing tender offer documents on Schedule 13E-4F, 14D-1F or 14D-9F (§ 240.13e-102, 240.14d-102 or 240.14d-103 of this chapter), or by any non-U.S. person acting as trustee with respect to securities registered on Form F-7 (§ 249.37 of this chapter), F-8, F-9, F-10 or F-80.](https://www.frixlaw.com/law-library/statutes/ecfr-17-249.250.md)

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Source: Frix Law Library, https://www.frixlaw.com/law-library/statutes/ecfr-17-249.105. Check the current official text before relying on it. Not legal advice.