Get the free SEC FORM 4/A

This document is a statement of changes in beneficial ownership, filed pursuant to Section 16(a) of the Securities Exchange Act of 1934.

How to fill out sec form 4a

How to fill out SEC FORM 4/A

1. Obtain a copy of SEC Form 4/A from the SEC's website or your brokerage.
2. Fill in the name of the reporting person in the appropriate section.
3. Provide the relationship of the reporting person to the company (e.g., officer, director, 10% shareholder).
4. Indicate the date of the transaction.
5. Detail the number of shares involved in the transaction.
6. Specify the type of transaction (e.g., buy, sell, gift).
7. Report the price at which the shares were bought or sold.
8. Sign the form and include the date of signing.
9. Submit the completed SEC Form 4/A to the SEC electronically, if required.

Who needs SEC FORM 4/A?

1. SEC Form 4/A is needed by officers, directors, and certain shareholders of publicly traded companies who need to report changes in their ownership of the company’s securities.

People Also Ask about

Is SEC Form 4 bullish?

Form S-4 is the registration statement that the Securities and Exchange Commission (SEC) requires reporting companies to file in order to publicly offer new securities pursuant to a merger or acquisition.

What is a Form 4 filing with the SEC?

Insiders buying shares on Form 4 is a bullish indicator in trading. It reflects positive market sentiment and can influence investor confidence.

Is a Form 4 bullish?

As a general rule, Form 4 filings that show substantial insider buying activity are a bullish signal.

What does Form 4 do?

The Form 4 is used anytime an NFA Firearm is transferred to a non-FFL – it is used to pay the transfer tax as well as apply for permission to possess the NFA Firearm. When approved, it is returned from the ATF with a tax stamp.

What does SEC Form 4 transaction code A mean?

A – Grant, award, or other acquisition. D – Sale (or disposition) back to the issuer of the securities. F – Payment of exercise price or tax liability by delivering or withholding securities.

What is SEC form s 4 used for?

Form S-4 is the registration statement that the Securities and Exchange Commission (SEC) requires reporting companies to file in order to publicly offer new securities pursuant to a merger or acquisition.

What does SEC Form 4 tell you?

What's a Form 4? 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.

For pdfFiller’s FAQs

What is SEC FORM 4/A?

SEC FORM 4/A is an amended version of SEC FORM 4, which is used to report changes in ownership of securities by corporate insiders, such as officers, directors, and greater than 10% shareholders, to the U.S. Securities and Exchange Commission.

Who is required to file SEC FORM 4/A?

Corporate insiders, including officers, directors, and shareholders owning more than 10% of a class of the company's equity securities, are required to file SEC FORM 4/A when they have made a change in ownership.

How to fill out SEC FORM 4/A?

To fill out SEC FORM 4/A, insiders must include details of the original filing, including the date of the transaction, the nature of the transaction, the number of shares involved, and any additional details pertaining to the ownership changes.

What is the purpose of SEC FORM 4/A?

The purpose of SEC FORM 4/A is to provide transparency and keep the public informed about significant changes in ownership by insiders of a public company, thereby promoting market integrity and preventing insider trading.

What information must be reported on SEC FORM 4/A?

SEC FORM 4/A must report information including the reporting person's name, the relationship to the company, the date of the transaction, the number of securities involved, the price at which the securities were bought or sold, and any changes in the ownership of those securities.