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UNITEDSTATESSECURITIESANDEXCHANGECOMMISSION Washington, D.C.20549 FORM4 o Checkthisboxifnolonger subjecttoSection16. Form4or Form5obligationsmaycontinue. See Instruction1(b). APPROVAL STATEMENTOFCHANGESINBENEFICIALOWNERSHIPOFSECURITIES

How to fill out ombapproval statementofchangesinbeneficialownershipofsecurities filedpursuanttosecti

How to fill out ombapproval statementofchangesinbeneficialownershipofsecurities filedpursuanttosection16aofformsecuritiesexchangeactof1934section17aofformpublicutility holdingcompanyactof1935orsection30hofforminvestmentcompanyactof19:

1. Start by obtaining the necessary forms: The ombapproval statement of changes in beneficial ownership of securities form can be obtained from the relevant regulatory authority. Make sure to download the correct version that corresponds to the applicable section of the respective act (e.g., Form Securities Exchange Act of 1934 Section 16(a), Form Public Utility Holding Company Act of 1935 Section 17(a), or Form Investment Company Act of 1940 Section 30(h)).
2. Review the instructions: Before filling out the form, carefully read the accompanying instructions. These instructions provide guidance on how to accurately complete each section of the form and ensure compliance with the relevant regulations.
3. Provide accurate identification details: In the form, you will be required to provide your personal or company information, depending on the context. Ensure that you accurately fill out the required fields, including your name, contact information, and any other details specified in the form.
4. Specify the type of ownership change: Indicate whether the form is being filed for an initial ownership change, a reporting correction, or an amendment to a previously filed report. This will determine the appropriate boxes to fill out and the information to provide.
5. Enter the details of the securities and beneficial ownership: Provide a comprehensive and accurate description of the securities involved in the ownership change. Specify the type of securities (e.g., common stock, preferred stock, options, etc.), their quantity, and any other relevant details. Additionally, report the names and relevant details of the individuals or entities with beneficial ownership interests in these securities.
6. Attach supporting documents, if required: Some forms may require the attachment of supporting documents to verify the reported ownership changes. These documents might include agreements, contracts, or other records that substantiate the reported information. Follow the instructions to determine which documents, if any, need to be submitted along with the form.
7. Review and validate the information provided: Before submitting the form, thoroughly review all the entered information to ensure accuracy and completeness. Any errors or omissions could lead to complications or delays in the processing of the form.
8. Submit the form: Once you are confident in the accuracy of the form, submit it to the appropriate regulatory authority as instructed. This may involve mailing a physical copy or submitting the form electronically through an online portal.

Who needs ombapproval statementofchangesinbeneficialownershipofsecurities filedpursuanttosection16aofformsecuritiesexchangeactof1934section17aofformpublicutilityholdingcompanyactof1935orsection30hofforminvestmentcompanyactof19:

1. Individuals or entities with beneficial ownership of securities: Anyone who has a beneficial ownership interest in securities governed by the respective acts mentioned in the question may need to file the ombapproval statement of changes in beneficial ownership of securities. This includes shareholders, executives, directors, or any other person or entity fulfilling the relevant criteria outlined in the acts.
2. Companies subject to regulatory oversight: Public companies, utility holding companies, and investment companies governed by the Securities Exchange Act of 1934, Public Utility Holding Company Act of 1935, or Investment Company Act of 1940, respectively, must comply with the reporting requirements outlined in the acts. Therefore, their officers, directors, and designated individuals responsible for reporting ownership changes may need to file the mentioned form.

It is important to note that the specific requirements and applicability may differ depending on the jurisdiction and the specific circumstances. Consulting legal or regulatory professionals familiar with the relevant laws and acts can provide more precise guidance tailored to individual situations.

For pdfFiller’s FAQs

What is ombapproval statementofchangesinbeneficialownershipofsecurities filedpursuanttosection16aofformsecuritiesexchangeactof1934section17aofformpublicutility holdingcompanyactof1935orsection30hofforminvestmentcompanyactof19?

The ombapproval statementofchangesinbeneficialownershipofsecurities filed pursuant to Section 16a of Form Securities Exchange Act of 1934, Section 17a of Form Public Utility Holding Company Act of 1935, or Section 30h of Form Investment Company Act of 19 is a document that discloses changes in beneficial ownership of securities by specified individuals.

Who is required to file ombapproval statementofchangesinbeneficialownershipofsecurities filedpursuanttosection16aofformsecuritiesexchangeactof1934section17aofformpublicutility holdingcompanyactof1935orsection30hofforminvestmentcompanyactof19?

Individuals specified under the relevant sections of the forms are required to file the ombapproval statement of changes in beneficial ownership of securities.

How to fill out ombapproval statementofchangesinbeneficialownershipofsecurities filedpursuanttosection16aofformsecuritiesexchangeactof1934section17aofformpublicutility holdingcompanyactof1935orsection30hofforminvestmentcompanyactof19?

The form must be completed accurately and submitted following the instructions provided on the form and any accompanying guidance.

What is the purpose of ombapproval statementofchangesinbeneficialownershipofsecurities filedpursuanttosection16aofformsecuritiesexchangeactof1934section17aofformpublicutility holdingcompanyactof1935orsection30hofforminvestmentcompanyactof19?

The purpose of the form is to provide transparency and accountability regarding changes in beneficial ownership of securities by specified individuals.

What information must be reported on ombapproval statementofchangesinbeneficialownershipofsecurities filedpursuanttosection16aofformsecuritiesexchangeactof1934section17aofformpublicutility holdingcompanyactof1935orsection30hofforminvestmentcompanyactof19?

Information related to the changes in beneficial ownership of securities by specified individuals must be reported on the form.

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