Schedule 13D
Schedule 13D discloses beneficial ownership above five per cent of a class of registered equity, along with the holder's intentions. Concealed control blocks are usually concealed by not filing it.
Where does schedule 13d come up?
This term is used in the following manipulation techniques, each explained in full on its own page.
Enforcement actions involving these techniques
| Action | Agency | Filed | Technique | Penalty | Status |
|---|---|---|---|---|---|
| SEC v. Airborne Wireless Network and others (pump and dump, 2025) | SEC | 2025-02-07 | Pump And Dump , Undisclosed Control Blocks | $22.6m | judgment |
| SEC v. Timothy Page, Trevor Page and others (boiler rooms, 2024) | SEC | 2024-11-20 | Boiler Rooms , Undisclosed Control Blocks | $7.7m | judgment |
| SEC v. Brian Quinn and David Skriloff (Environmental Packaging, 2024) | SEC | 2024-10-18 | Reverse Merger Schemes , Undisclosed Control Blocks | $461k | judgment |
| SEC v. Kevan Casey, Adrian James, Jonathan Friedlander and Robert Wheat (pump and dump, 2024) | SEC | 2024-08-09 | Pump And Dump , Undisclosed Control Blocks | — | filed |
| SEBI v. Vijay Mallya (routing of funds through UBS accounts into group-company shares, 2024) | SEBI (India) | 2024-07-26 | Undisclosed Control Blocks | — | judgment |