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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 a copy of SEC Form 4: Start by downloading a copy of the SEC Form 4 from the official website of the U.S. Securities and Exchange Commission (SEC) or any other trusted source. Make sure you have the most recent version of the form.
2. Provide personal information: Begin by filling out your personal information in the designated fields. This includes your full name, address, Social Security number, and any other information required by the form.
3. Identify the reporting person: Indicate whether you are a director, officer, or owner of more than 10% stock in the company whose securities are being reported on. If you are reporting on behalf of someone else, provide the necessary details about the reporting person.
4. Disclose the transaction details: Fill in the details of the transaction that occurred. Include the date of the transaction, the nature of the transaction (purchase, sale, gift, etc.), and the amount and description of the securities involved.
5. Report the ownership: Specify the amount and nature of the securities owned by the reporting person before and after the transaction. This should include both direct and indirect ownership, such as shares held in a spouse's or dependent's name.
6. Provide additional information: If required, provide any additional information requested by the form. This may include details about the issuer of the securities, such as the company name, ticker symbol, and the exchange where the securities are listed.
7. Sign and submit: Once you have completed all the necessary fields, review the form for accuracy and sign it. Ensure that you have included any required attachments, such as supporting documentation or notarized signatures. Submit the form to the SEC within the specified filing deadlines.

Who needs SEC Form 4:

1. Directors and officers: SEC Form 4 is primarily used by directors, officers, and other insiders of publicly traded companies to report their transactions involving company securities. This helps to ensure transparency and compliance with insider trading regulations.
2. 10% stockholders: Individuals or entities that own more than 10% of a company's stock are required to file SEC Form 4 to report their ownership and any transactions related to their holdings. This allows investors and the SEC to monitor significant changes in ownership.
3. Compliance departments and legal teams: Compliance departments and legal teams within public companies are responsible for ensuring that individuals subject to reporting requirements file SEC Form 4 accurately and within the required timeframe. They use this form to track and report insider transactions to the SEC.

Remember, it is crucial to consult with legal and financial professionals to ensure compliance with SEC regulations and to understand the specific requirements for filling out SEC Form 4 in your particular situation.

For pdfFiller’s FAQs

What is sec form 4?

SEC Form 4 is a disclosure form required to be filed with the Securities and Exchange Commission (SEC) by insiders when there are changes in their ownership of a company's stock.

Who is required to file sec form 4?

Corporate insiders, including directors, officers, and beneficial owners of more than 10% of a company's stock, are required to file SEC Form 4.

How to fill out sec form 4?

SEC Form 4 must be filled out electronically on the SEC's EDGAR system. It requires information about the insider's identity, the security being traded, the date of the transaction, and the nature of the transaction.

What is the purpose of sec form 4?

The purpose of SEC Form 4 is to provide transparency to investors by disclosing insider trading activity, which may be an indication of the company's financial health or future performance.

What information must be reported on sec form 4?

SEC Form 4 requires reporting of the insider's identity, the security being traded, the date of the transaction, the nature of the transaction (buy/sell), and the number of shares involved.

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