Get the free FORM 4 - Statement of Changes in Beneficial Ownership
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This document is used to report changes in the beneficial ownership of securities by executives or insiders of public companies, in this case, related to the Federal Home Loan Mortgage Corporation.
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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 the FORM 4 template from the appropriate regulatory body or website.
02
Fill in the name of the reporting person and their relationship to the issuer.
03
Enter the name of the issuer and the class of securities involved.
04
Provide details on the transaction date and the amount of securities involved.
05
Specify the nature of the ownership (direct or indirect).
06
Include the price per share or unit at which the transaction occurred.
07
Detail any changes in beneficial ownership, including acquisitions or dispositions.
08
Sign and date the form to certify the truthfulness and completeness of the information.
09
Submit FORM 4 to the appropriate regulatory body by the required deadline.
Who needs FORM 4 - Statement of Changes in Beneficial Ownership?
01
Individuals or entities who are directors, officers, or beneficial owners of more than 10% of a registered class of securities in a company.
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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 Securities and Exchange Commission (SEC) by insiders of a publicly traded company to report changes in their ownership of the company's securities.
Who is required to file FORM 4 - Statement of Changes in Beneficial Ownership?
Insiders of a publicly traded company, such as directors, officers, and beneficial owners of more than 10% of a 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 details such as the name of the reporting person, the relationship to the issuer, the date of the transaction, details of the securities transaction, and the amount of securities owned following the transaction.
What is the purpose of FORM 4 - Statement of Changes in Beneficial Ownership?
The purpose of FORM 4 is to provide transparency regarding insider trading activities, helping to prevent fraud and ensuring that investors have access to relevant information about changes in ownership.
What information must be reported on FORM 4 - Statement of Changes in Beneficial Ownership?
The information that must be reported on FORM 4 includes the name of the insider, their relationship to the company, the date of the transaction, the nature of the transaction (purchase, sale, etc.), the number of shares involved, the price per share, and the total number of shares owned afterwards.
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