Get the free INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

This document is used to report the beneficial ownership of securities by individuals or entities, specifically for initial ownership statements under the Federal Home Loan Mortgage Corporation.

How to fill out initial statement of beneficial

How to fill out INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

1. Begin by obtaining the Initial Statement of Beneficial Ownership of Securities form from the appropriate regulatory authority.
2. Fill in the name of the reporting person at the top of the form.
3. Provide the person's address, including city, state, and zip code.
4. Indicate the date of the statement, which is typically the date you are filing.
5. List the title of the securities for which you are filing the statement.
6. Specify the amount of securities owned directly by the reporting person.
7. Include any securities owned indirectly and identify the nature of the beneficial ownership.
8. Report any transactions involving the purchase or sale of securities by the reporting person, including dates and amounts.
9. Sign and date the form to confirm its accuracy.
10. Submit the completed form to the appropriate regulatory authority, ensuring compliance with any deadlines.

Who needs INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES?

1. Individuals or entities that own securities in a public company or certain private companies must file this form to disclose their beneficial ownership.
2. Corporate officers, directors, and 10% shareholders are generally required to submit this statement as part of regulatory compliance.

People Also Ask about

What is Form 3 10 calendar days?

The information provided on the form is meant to disclose the holdings of directors, officers, and beneficial owners of registered companies and becomes public record. The form must be filed with the SEC no later than 10 days after an insider becomes affiliated with a company.

Who needs to file Form 3 and 4?

The federal securities laws require certain individuals (such as officers, directors, and those that hold more than 10% of any class of a company's securities, together we'll call, “insiders”) to report purchases, sales, and holdings of their company's securities by filing Forms 3, 4, and 5.

How many days do you have to file Form 3?

What's a Form 3? When a person becomes an insider (for example, when they are hired as an officer or director), they must file a Form 3 to initially disclose his or her ownership of the company's securities. Form 3 must be filed within 10 days after the person becomes an insider.

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 timeline for filing Form S-3?

3 to Form S-3 requires that the registrant have timely filed all reports required to be filed during the twelve calendar months and any portion of a month immediately preceding the filing of the registration statement.

What is the 4 statement of changes in beneficial ownership of securities?

Form 4 is a statement to disclose changes in an insider's ownership of securities. The information is used for the purpose of disclosing the equity holdings of insiders of reporting companies.

What are the requirements for filing Form S-3?

Form S-3 requires less disclosure than many other registration statements, but issuers must satisfy rigorous requirements to qualify to file a Form S-3. The issuer must have timely filed all its periodic reports . The issuer must have met all debt and dividend obligations in the prior 12 months.

What is the initial statement of beneficial ownership of securities?

SEC Form 3: Initial Statement of Beneficial Ownership of Securities is a document filed by a company insider or major shareholder with the Securities and Exchange Commission (SEC).

For pdfFiller’s FAQs

What is INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES?

The Initial Statement of Beneficial Ownership of Securities is a form filed with the Securities and Exchange Commission (SEC) that requires insiders of a company to disclose their ownership of the company's securities upon becoming an insider.

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

Individuals who are considered insiders, such as officers, directors, and large shareholders (usually owning more than 10% of the company's stock), are required to file the Initial Statement of Beneficial Ownership of Securities.

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

To fill out the form, insiders must provide information such as their name, title, the date of their becoming an insider, as well as details about their holdings in the company's securities, including the number of shares owned and any options to purchase additional shares.

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

The purpose of the Initial Statement of Beneficial Ownership of Securities is to promote transparency in securities trading by ensuring that insiders disclose their ownership and any changes in their holdings, thereby helping to prevent insider trading.

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

The information that must be reported includes the name of the reporting person, their relationship to the company, the date of the transaction, the number of shares owned or controlled, the class of securities, and any other derivatives or convertible securities.