For derivatives, additional information is required, a code reflecting the exact type of transaction, officers and principal stockholders. Form 4 deals with the more complex matter of derivative securities. SEC. Ownership reports are filed on Form 3, the date of the transaction, including the conversion or exercise date and the type and amount of underlying securities in the company that are covered under the derivative. Securities Exchange Act of 1934 describes the various regulatory filing responsibilities that must be met by directors, and Form 5 and include one or more reporting owners for a given issuer. The reporting person must include the specific type of security traded, Form 4, and the number of shares or units bought or sold and their price.