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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: STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Check this box if no longer

How to fill out sec form 4

How to fill out SEC Form 4:

1. Obtain the necessary information: Gather all the required details such as your personal information, including your name, address, and social security number, as well as the information about the issuer of the securities you are reporting on.
2. Identify the transactions: Determine the specific transactions being reported on SEC Form 4. This includes any purchases, sales, or transfers of securities within the reporting period.
3. Complete the header section: Fill in the header section of the form, which includes your name, address, position or relationship with the issuer, and the issuer's name and ticker symbol. Make sure to also provide the dates for the reporting period.
4. Report ownership changes: Indicate any changes in ownership of securities during the reporting period. Include details about the type of securities, the nature of the ownership change (e.g., acquisition, disposition), and the date of the transaction.
5. Provide transaction details: Specify the number of securities involved in each transaction, as well as the price per share or aggregate amount of the transaction. Include any necessary explanations or footnotes to clarify the nature of the transaction.
6. File the form electronically: Submit the completed SEC Form 4 electronically through the SEC's EDGAR system within the specified timelines. Ensure that you receive a confirmation of submission.

Who needs SEC Form 4:

1. Executive officers and directors: Individuals who hold a position as an executive officer or director of a public company are required to file SEC Form 4 to report their transactions in the company's securities.
2. Beneficial owners: Any beneficial owner of more than 10% of a class of the company's registered equity securities is also obligated to file SEC Form 4 to disclose their ownership changes.
3. Insider trading participants: Individuals who engage in insider trading, defined as trading securities based on material nonpublic information, are subject to SEC Form 4 filing requirements.

Overall, SEC Form 4 is essential for individuals involved in the management or ownership of public companies or those engaged in insider trading, as it helps promote transparency and protect investors in the securities market. Remember to consult the SEC's guidelines and regulations for more detailed instructions on filling out the form accurately.

For pdfFiller’s FAQs

What is sec form 4?

SEC form 4 is a filing with the Securities and Exchange Commission that must be submitted by company insiders when they engage in transactions involving company stock.

Who is required to file sec form 4?

Company insiders such as officers, directors, and beneficial owners of more than 10% of a class of equity securities are required to file SEC form 4.

How to fill out sec form 4?

SEC form 4 must be accurately completed with details of the insider's transaction, including the date of the transaction, the type of transaction, and the number of securities involved.

What is the purpose of sec form 4?

The purpose of SEC form 4 is to provide transparency and accountability in the trading activities of company insiders, allowing investors to make informed decisions.

What information must be reported on sec form 4?

SEC form 4 requires reporting of the insider's name, relationship to the company, details of the transaction, and any other relevant information.

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