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This form is used to report changes in beneficial ownership of securities, including transactions involving common stock and derivative securities by a reporting person associated with the Federal
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How to fill out form 4 - statement
How to fill out FORM 4 - Statement of Changes in Beneficial Ownership
01
Obtain FORM 4 from the appropriate regulatory agency's website.
02
Fill in the name of the reporting person in the designated section.
03
Specify the relationship of the reporting person to the issuer.
04
List the date of the transaction or change in ownership.
05
Detail the type of security involved in the transaction.
06
Indicate the number of securities involved in the change.
07
Provide any relevant transaction codes as applicable.
08
Sign and date the form.
09
Submit the completed FORM 4 to the relevant regulatory authority, typically the SEC, within the required timeframe.
Who needs FORM 4 - Statement of Changes in Beneficial Ownership?
01
Insiders of publicly traded companies, including directors, officers, and large shareholders, are required to file FORM 4 to report changes in their beneficial ownership of the company's securities.
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What is a Form 4 statement of changes in beneficial ownership?
In most cases, when an insider executes a transaction, he or she must file a Form 4. With this form filing, the public is made aware of the insider's various transactions in company securities, including the amount purchased or sold and the price per share.
What is an example of beneficial ownership?
A beneficial owner is someone who owns at least part of a property or other asset, even if its legal title is owned by someone else. That person can also vote on or otherwise influence decisions regarding transactions involving that asset or property. An example is a corporate shareholder.
What happens if I don't file a beneficial ownership information report?
What happens if I don't file by the deadline? Failure to file may become extremely costly, with civil penalties starting at $500 per day and criminal penalties of up to $10,000 and/or two years in prison.
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]
Who fills out the beneficial ownership form?
Certain types of corporations, limited liability companies, and other similar entities created in or registered to do business in the United States must report information about their beneficial owners—the persons who ultimately own or control the company—to FinCEN as of Jan. 1, 2024.
Who must file Form 4?
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 a statement of beneficial ownership?
Form 4 is stored in SEC's EDGAR database and academic researchers make these reports freely available as structured datasets in the Harvard Dataverse.
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What is FORM 4 - Statement of Changes in Beneficial Ownership?
FORM 4 is a document that must be filed with the SEC to report changes in beneficial ownership of a company's securities by its insiders, including officers, directors, and large shareholders.
Who is required to file FORM 4 - Statement of Changes in Beneficial Ownership?
Insiders of a company, such as executive officers, directors, and shareholders owning more than 10% of a class of the company's equity securities, are required to file FORM 4.
How to fill out FORM 4 - Statement of Changes in Beneficial Ownership?
To fill out FORM 4, insiders must provide their name, the name of the issuer, the date of the transaction, the amount of securities involved, the price per share, and the nature of ownership (direct or indirect).
What is the purpose of FORM 4 - Statement of Changes in Beneficial Ownership?
The purpose of FORM 4 is to provide transparency about changes in the ownership of a company's securities by insiders, helping to inform investors and promote corporate accountability.
What information must be reported on FORM 4 - Statement of Changes in Beneficial Ownership?
FORM 4 must report the insider's name and relation to the company, the date of the transaction, the number of securities bought or sold, the price per share, the nature of the ownership, and any securities being held after the transaction.
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