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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: 3235 -0287 Estimated average burden STATEMENT OF CHANGES IN BENEFICIAL

How to fill out sec form 4

How to fill out SEC Form 4:

1. Obtain the necessary information: Before filling out SEC Form 4, gather all the relevant information such as your name, title, social security number or taxpayer identification number, the company's name, and the ticker symbol if applicable.
2. Familiarize yourself with the form: Take a few moments to review SEC Form 4 and become familiar with its sections. This will help ensure that you provide accurate and complete information.
3. Identify the transactions: SEC Form 4 is used to report any changes in ownership of securities, including the acquisition or disposition of equity securities by officers, directors, and other insiders of publicly traded companies. Determine the specific transactions you need to report on the form.
4. Complete the ownership reporting section: In this section, provide details about the issuer of the securities, the class of securities, the nature of ownership (direct or indirect), and the date of the transaction. Include the number of securities acquired or disposed of and the price per share, if applicable.
5. Report transactions codes: SEC Form 4 requires the use of specific transaction codes to categorize the nature of the transactions. Check the instructions for the form to determine the correct code(s) to use based on the type of transaction being reported.
6. Attach necessary exhibits: Depending on the transactions being reported, you may need to attach additional exhibits such as a copy of a purchase agreement or a written plan for stock transactions. Ensure that you include all required supporting documentation.
7. Sign and date the form: Once you have completed all the necessary sections of SEC Form 4, sign and date the form to certify the accuracy and completeness of the information provided.

Who needs SEC Form 4?

1. Officers and directors: SEC Form 4 is primarily required for officers, directors, and other insiders of publicly traded companies. It helps ensure the transparency and integrity of the securities market by disclosing their transactions in the company's securities.
2. Beneficial owners: Beneficial owners who hold a significant ownership stake in a publicly traded company are also required to file SEC Form 4. This includes individuals or entities that have the power to control or influence the voting rights or investment decisions related to the securities.
3. Reporting entities: In some cases, entities such as investment managers or institutional investors may need to file SEC Form 4 if they meet the criteria outlined by the Securities and Exchange Commission (SEC). These entities must disclose their transactions in the securities of publicly traded companies they manage or control.

Please note that the above information is a general guide and should not substitute for professional advice. It is important to consult with an attorney or knowledgeable financial advisor to ensure compliance with all applicable laws and regulations when filling out SEC Form 4.

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