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No-Filings-Due Statement
An affirmation from a company insider (a director or an officer) that he or she has no missing or late Section 16 filings. The statement also requires the insider to attest that a Form 5 is not needed for any unreported transactions during the year. This can be part of the D&O questionnaire. Companies rely on no-filings-due statements for their Item 405 proxy statement disclosure. The SEC has indicated that when a Form 5 is not filed, companies should assume a delinquency in Section 16 filings unless it can independently verify that the insider does not have any unreported transactions.
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