Section 16 intake that flags officers, directors, and 10% holders
The intake asks whether the prospective client is an officer, director, or 10%-plus owner, whether a purchase and sale matched within a six-month window, and whether the SEC, the company, or a shareholder has already made contact — then requests trade records before routing the matter to your CRM.
The exact intake your section 16 and short-swing compliance leads complete
This is the real 7-question guided intake for Section 16 and Short-Swing Compliance — the same flow your customers finish before you ever pick up the phone.
What a qualified section 16 and short-swing compliance lead should tell you
Section 16 and short-swing compliance covers officers, directors, and shareholders holding 10% or more of a U.S. public company who must report their trades and may face disgorgement of profits when a purchase and a sale of the same stock occur within a six-month window.
- Officer, Director, Or Own
- Company’S Stock Registered And
- Bought And Sold (Or
- Any Those Trades Made
- Help Filing Or Correcting
- Received Warning, Inquiry, Or
- Identify Company And Dates
The questions your team needs answered
Every section 16 and short-swing compliance intake asks these — and why each one matters.
| Question | Why it matters |
|---|---|
| Are you an officer, director, or do you own 10% or more of a U.S. public company’s shares? | Officer, director, or 10%-plus ownership status is the threshold that determines whether Section 16 applies at all. |
| Is the company’s stock registered and traded in the United States (for example, on NYSE, Nasdaq, or OTC)? | Only companies whose stock is registered and traded in the U.S. create Section 16 reporting obligations, so this screens out non-reporting companies early. |
| Have you bought and sold (or sold and bought) the company’s stock within a 6-month period? | A matched purchase and sale within six months is the core trigger for short-swing profit disgorgement under 16(b). |
| Were any of those trades made in the last 2 years? | Trades outside the last two years may fall closer to or past typical limitations concerns, changing how urgently the matter needs review. |
| Do you need help filing or correcting insider reports (like Forms 3, 4, or 5) related to your trades or holdings? | Separates pure Form 3/4/5 filing-correction requests from matters involving actual short-swing profit exposure. |
| Have you received a warning, inquiry, or notice from the SEC, the company, or a shareholder about your trades or filings? | An existing SEC, company, or shareholder inquiry means the matter is already live and likely time-sensitive. |
| Can you identify the company and the dates and amounts of the trades involved? | Being able to name the company and specific trade dates and amounts shows the client has documentation ready for evaluation. |
How Cliont scores section 16 and short-swing compliance leads
Every answer is weighted automatically — no manual review required.
Value signals
- Officer, Director, Or Own: yes
- Company’S Stock Registered And: yes
- Bought And Sold (Or: yes
- Any Those Trades Made: yes
- Help Filing Or Correcting: yes
- Received Warning, Inquiry, Or: yes
See the lead your team receives
Section 16 Short-Swing Compliance Lead
From first click to qualified lead
Follow people and businesses seeking counsel through one smooth, guided flow.
They land & meet you
Your video greeting plays instantly — a real face instead of a blank form.
They explain the matter
Smart questions adapt to their matter and capture the full scope.
They share the documents
The facts, dates, and any paperwork come attached, so you can assess the matter before the consultation.
You get a ready lead
Scored and qualified — waiting for you to win it.
Built for section 16 and short-swing compliance workflows
| Cliont capability | Section 16 And Short-Swing Compliance application |
|---|---|
| Weighted scoring logic | Combines officer/director/10%-owner status with a confirmed six-month trade match and any SEC or company notice, so matters with real disgorgement exposure outrank general filing questions. |
| Yes/no branching questions | Separates clients who only need Form 3/4/5 filing help from those with an actual matched purchase-and-sale pair, so you're not treating administrative filing work the same as short-swing liability. |
| Document collection at intake | Requests trade records and any SEC, company, or shareholder correspondence before the consultation, so you're reviewing dates and amounts instead of asking for them live. |
| Priority alerts on high-weight answers | A 'yes' on having received an SEC or shareholder notice can trigger faster notification, since that answer signals the matter is already active. |
Common section 16 and short-swing compliance lead scenarios
Officer with matched trades
A director confirms officer status, a six-month matched trade, and dates within the last two years — the clearest short-swing exposure profile the intake can surface.
Already contacted by the SEC
A 10% owner has received a warning or inquiry about a filing, which the intake flags as an active matter regardless of whether the trades themselves are confirmed yet.
Just needs a Form 4 fixed
A prospective client only needs help filing or correcting an insider report and has no matched purchase-and-sale pair, so the intake routes this as filing-only work rather than short-swing exposure.
Non-insider misreads the rule
Someone who is not an officer, director, or 10% owner and whose company isn't U.S.-registered submits an inquiry — the intake captures both no-answers so you can see at a glance this isn't a Section 16 matter.
Old trades, no recent activity
Trades matched within six months but happened more than two years ago, which the intake still records but with lower weight than a recent, still-actionable pair.
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Section 16 and Short-Swing Compliance lead-intake FAQs
How does the intake decide if someone is even subject to Section 16?
It starts with whether the prospective client is an officer, director, or 10%-plus owner and whether the company's stock is registered and traded in the U.S. — both are required before short-swing exposure is even possible.
What happens if the trades are old?
The intake separately asks whether any matched trades occurred in the last two years, so a six-month match from five years ago scores differently than one that's still fresh.
Can the intake tell the difference between a filing-correction request and an actual short-swing profit issue?
Yes — one question specifically asks whether the client needs help with Forms 3, 4, or 5, which is tracked separately from whether a disgorgement-triggering trade pair actually occurred.
How does the intake flag matters that are already time-sensitive?
If the client has already received a warning, inquiry, or notice from the SEC, the company, or a shareholder, that answer carries one of the higher weights in the scoring so it doesn't sit in a queue.
What trade details does the intake actually collect?
It asks whether a purchase and sale (or sale and purchase) happened within six months and whether the client can identify the company along with the specific dates and amounts involved.
Will the intake screen out people who clearly aren't insiders?
A 'no' on officer/director/10%-owner status and on U.S. stock registration both carry low weights, so those submissions land at the bottom of your CRM instead of taking up consultation time.
Turn section 16 and short-swing compliance visitors into qualified cases
Give every section 16 and short-swing compliance visitor a guided intake instead of a dead contact form — and get a scored, qualified lead before you book a consultation.