Transaction Codes used in Form 4 SEC Filings

The following codes are the common codes used when filing Form 4. If you want learn more on this visit https://en.wikipedia.org/wiki/Category:SEC_filings

General Transaction Codes

P — Open market or private purchase of non-derivative or derivative security

S — Open market or private sale of non-derivative or derivative security

V — Transaction voluntarily reported earlier than required

Rule 16b-3 Transaction Codes

A — Grant, award or other acquisition pursuant to Rule 16b-3(d)

D — Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)

F — Payment of exercise price or tax liability by delivering or with holding securities incident to the receipt, exercise or vesting of a security issued in accordance with

Rule 16b-3

I  — Discretionary transaction in accordance with Rule 16b-3(f) resulting in acquisition or disposition of issuer securities

M — Exercise or conversion of derivative security exempted pursuant to

Rule 16b-3

Derivative Securities Codes (Except for transactions exempted pursuant to Rule 16b-3) 

C — Conversion of derivative security

E — Expiration of short derivative position

H — Expiration (or cancellation) of long derivative position with value received

O — Exercise of out-of-the-money derivative security

X — Exercise of in-the-money or at-the-money derivative security

Other Section 16(b) Exempt Transaction and Small Acquisition Codes (except for Rule 16b-3 codes above)

G — Bona fi de gift

L — Small acquisition under Rule 16a-6

W — Acquisition or disposition by will or the laws of descent and distribution

Z  — Deposit into or withdrawal from voting trust

Other Transaction Codes

J — Other acquisition or disposition (describe transaction)

K — Transaction in equity swap or instrument with similar characteristics

U — Disposition pursuant to a tender of shares in a change of control transaction