Security Ownership Of Certain Beneficial Owners And Management: Fill & Download for Free

The financial statements on a 10-K (annual) filing are audited. 10-Q’s (quarterly) filings are not, although some type of “review” is typically performed by the company’s external auditors.A 10-K is substantially greater in scope than a 10-Q. Information required on a 10-K which are not require on a 10-Q includes, but is not limited to:Business (overview)Unresolved Staff Comments (refers to SEC comments)PropertiesEmployee headcountMarket for Registrant’s Common Equity, Related Stockholder Matters and Issuer Purchases of Equity SecuritiesSelected Financial DataChanges in and Disagreements With Accountants on Accounting and Financial DisclosureDirectors, Executive Officers and Corporate GovernanceExecutive CompensationSecurity Ownership of Certain Beneficial Owners and Management and Related Stockholder MattersCertain Relationships and Related Transactions and Director IndependencePrincipal Accounting Fees and ServicesAbout the only thing I can think of where a 10-Q would have something that a 10-K does not is Submission of Matters Put to A Vote of Security Holders. This basically describes the results of shareholder voting at the last annual meeting of shareholders. Typical topics voted upon include the re-election of board members and the ratification of the appointment of company’s auditors for the upcoming fiscal year.Given the reduced scope, the time a company has to file a 10-Q is shorter than it is for a 10-K.

So, this is tricky. First, go to Uber’s S1 and find page 258: S-1Now, on page 259, you have the table captured in the tweet that accompanies this question. I have screenshotted it for reference:Go back to page 258 and read the penultimate paragraph:We have determined beneficial ownership in accordance with the rules and regulations of the SEC. These rules generally attribute beneficial ownership of securities to persons who possess sole or shared voting power or investment power with respect to those securities. In addition, the rules include shares of common stock issuable pursuant to the exercise of stock options or warrants that are either immediately exercisable or exercisable on or before May 30, 2019, which is 60 days after March 31, 2019. These shares are deemed to be outstanding and beneficially owned by the person holding those options or warrants for the purpose of computing the percentage ownership of that person, but they are not treated as outstanding for the purpose of computing the percentage ownership of any other person. The information contained in the following table is not necessarily indicative of beneficial ownership for any other purpose, and the inclusion of any shares in the table does not constitute an admission of beneficial ownership of those shares. Unless otherwise indicated, the persons or entities identified in this table have sole voting and investment power with respect to all shares shown as beneficially owned by them, subject to applicable community property laws.(Bold in the above is my emphasis. Read on for why I bolded certain things.)You will see the phrase “beneficial ownership” written repeatedly in the above block quote. A beneficial owner is a person who enjoys the benefits of ownership even though title is in another party’s name. One of the “benefits” of stock ownership is voting. Well, who is Benchmark Capital’s principal representative for Uber? That would be Matt Cohler. In other words, he is a beneficial owner of the stock because he enjoys the “benefit” of voting Benchmark’s shares.Matt Cohler is a Director of Uber and a Partner at Benchmark. Thus he is recorded as the beneficial owner of Benchmark’s shares for the purpose of the S1.Finally, you will note in the screenshot above that Cohler’s name has a footnote, number 6. Always read the footnotes to financial statements, as that would have provided the answer you seek. Quoting that footnote:Consists of 146.5 million shares of common stock held by Benchmark Capital Partners VII, L.P. (“Benchmark VII”) and 3.6 million shares of common stock held by Benchmark Capital Partners VI, L.P. (“Benchmark VI”). Benchmark Capital Management Co. VII LLC, the general partner of Benchmark VII, has the sole power to vote the shares held by Benchmark VII, and Matthew R. Cohler, Bruce W. Dunlevie, Peter H. Fenton, J. William Gurley, Kevin R. Harvey, Mitch H. Lasky, and Steven M. Spurlock, the managing members of Benchmark Capital Management Co. VII, LLC, have shared voting and investment power over these shares. Benchmark Capital Management Co. VI LLC, the general partner of Benchmark VI, has the sole power to vote the shares held by Benchmark VI, and Alexandre Balkanski, Matthew R. Cohler, Bruce W. Dunlevie, Peter H. Fenton, J. William Gurley, Kevin R. Harvey, and Steven M. Spurlock, the managing members of Benchmark Capital Management Co. VI LLC, have shared voting and investment power over these shares. The address for Benchmark VII and Benchmark VI is 2965 Woodside Road, Woodside, California 94062.It is important to note that this does not mean that Cohler owns these shares personally.

Your question is a bit unclear so this might not be helpful if you are looking for investors below 5% but annually companies that need to file regular reports with the SEC need to comply with Item 403 of Regulation S-K "Security Ownership of Certain Beneficial Owners and Management." This is actually in the 10-K but the standard practice is to forward incorporate by reference and include it in the annual proxy statement. So they do need to list top shareholders, but it is also true that the moment the top shareholders drop below 5% they don't need to be listed.For 5% or greater holders, you could figure it out for a certain quarter by looking at the most recent 403 disclosure and then searching on Edgar or another SEC filing site for Form 13s showing changes to beneficial ownership of significant holders.So, for instance, I can tell you that according to Apple's 2011 proxy statement (located at Definitive Proxy Statement) that as of December 17, 2010 the only 5% or greater holders were Blackrock at 5.50% and Fidelity at 5.04%.