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This document provides an initial statement by a reporting person regarding their beneficial ownership of securities, detailing amounts, ownership forms, and relationships to the issuer.

How to fill out initial statement of beneficial

How to fill out INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES FORM 3

1. Obtain the INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES FORM 3 from the appropriate regulatory agency website.
2. Fill out the information for each 'beneficial owner' by including their full name, address, and relationship to the reporting company.
3. Provide details about the reporting company itself, including its name and SEC Central Index Key (CIK) number.
4. Specify the date of the transaction that necessitates the filing of the form.
5. Indicate the number of shares and the class of securities owned by the beneficial owner, including any options or derivatives.
6. Review the form for accuracy and completeness before submission.
7. Submit the completed form electronically through the SEC's EDGAR system or appropriate submission platform.

Who needs INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES FORM 3?

1. Corporate officers, directors, and certain shareholders of a publicly traded company are required to file the INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES FORM 3 within 10 days of their election or appointment.

People Also Ask about

What is a beneficial ownership statement?

Beneficial ownership information refers to identifying information about the individuals who directly or indirectly own or control a company. [Issued March 24, 2023]

What is the initial filing of a statement of beneficial ownership?

If you are a company required to report, the initial beneficial ownership information reporting is based on the date your company receives actual notice that its creation or registration is effective, or after a secretary of state or similar office first provides public notice of its creation or registration, whichever

What is form F3 used for?

SEC Form F-3 is used by foreign issuers to register securities with the Securities and Exchange Commission (SEC). The form must be filed in ance with the Securities Act of 1933. Depending on the size of the foreign issue, companies may need to file additional forms in addition to, or in lieu of Form F-3.

What is a beneficial ownership statement?

Beneficial ownership information refers to identifying information about the individuals who directly or indirectly own or control a company. [Issued March 24, 2023]

What is an S 3 registration statement?

Form S-3 is a short form Securities Act registration statement that can be used to register the offer and sale of many different types of securities, including common and preferred stock, options, warrants, debt (convertible and non-convertible) and debt guarantees.

What is the form 3 initial statement of beneficial ownership?

Form 3 collects the initial percentage of beneficial ownership of equity securities for (1) any director or officer of an issuer with a class of equity securities registered pursuant to Section 12 of the Securities Exchange Act of 1934 ('34 Act); (2) any beneficial owner of greater than 10 percent of a class of equity

What is the rule of 3 beneficial ownership?

Under Rule 13d-3, “beneficial ownership” of a security means that a person has or shares the power, directly or indirectly, through any contract, arrangement, understanding, relationship or otherwise, (a) to vote or direct the voting of a security (“voting power”), or (b) to dispose of or direct the disposition of a

What does initial statement of beneficial ownership of Securities mean?

Form 3 – Initial Statement of Beneficial Ownership of Securities. Form 3 must be filed within 10 days of any individual or entity first becoming an insider. Form 3 includes the details of any equity securities of the public company that the insider beneficially owns at the time of becoming an insider.

For pdfFiller’s FAQs

What is INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES FORM 3?

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES FORM 3 is a document that must be filed with the Securities and Exchange Commission (SEC) by certain individuals who are beneficial owners of securities. It provides initial disclosure of their ownership in the company's securities.

Who is required to file INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES FORM 3?

Individuals who are considered beneficial owners of securities, which includes officers, directors, and greater than 10% shareholders of a company, are required to file INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES FORM 3.

How to fill out INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES FORM 3?

To fill out INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES FORM 3, individuals must provide required information such as their name, address, the name of the issuer, the title of the security, the number of shares, and the date of the transaction. The form should be signed and dated before submission to the SEC.

What is the purpose of INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES FORM 3?

The purpose of INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES FORM 3 is to promote transparency and ensure that the public is informed about significant ownership stakes in public companies. This helps prevent insider trading and fosters trust in the securities markets.

What information must be reported on INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES FORM 3?

The information that must be reported includes the name of the beneficial owner, the title and class of the securities, the number of shares owned, the ownership type (direct or indirect), the date of ownership, and details about any changes in beneficial ownership.