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SEC FORM 4 SEC Form 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION FORM 4 OMB APPROVAL Washington, D.C. 20549 OMB Number: Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations

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How to fill out sec form 4

How to Fill Out SEC Form 4:

01

Obtain the necessary form: First, you need to download or find a physical copy of SEC Form 4. It is available on the U.S. Securities and Exchange Commission (SEC) website.

02

Provide personal information: On the form, you will need to enter your personal information, including your full legal name, address, and Social Security number. This information is required for identification purposes.

03

Disclose your relationship to the issuer: You will be asked to provide details about your relationship to the company for which you are filing the form. This may include your position as an officer, director, or major shareholder.

04

Report transactions: SEC Form 4 requires the disclosure of any transactions involving the company's securities that you have conducted during a specified period. You must include the date of the transaction, the nature of the transaction (e.g., purchase or sale), the number of shares involved, and the price per share.

05

Indicate ownership prior to the transaction: You must also report your ownership position in the company's securities before and after the transaction. This involves providing the number of shares owned and the corresponding ownership percentage.

06

Provide a brief explanation: SEC Form 4 allows you to provide a brief explanation of the transaction or any other relevant details that may assist in understanding the context of the transaction, such as a 10b5-1 trading plan or a gift transfer.

Who Needs SEC Form 4?

01

Corporate Insiders: SEC Form 4 is primarily used by company insiders. This includes officers, directors, and beneficial owners who have a stake of more than 10% in a public company.

02

Reporting Obligations: Company insiders are required by law to file SEC Form 4 within two business days of any transaction involving the company's securities. This ensures transparency and helps prevent insider trading.

03

Regulatory Compliance: Filing SEC Form 4 helps maintain regulatory compliance and ensures that all transactions involving a company's securities are properly reported to the SEC, allowing for transparency in the securities market.

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