Publications

When to Switch a 13G Filing to a 13D Filing

Spring 2005
Activist Investing Developments - Spring 2005

Most activist investors at some point will face the question of whether, and if so when, they are required to file a Schedule 13D with the SEC for an investment position for which a 13G has previously been filed. The easy answer is that the filing must be made when the position is no longer held for investment but instead is held with the purpose or effect of changing or influencing control of the issuer. The hard part is in determining when this occurs.