Get the free SEC Form 4 dated 11 December 2007 - A. Marvin Strait

FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). OMB

How to fill out sec form 4 dated

How to fill out SEC Form 4 dated:

1. Obtain the necessary form: SEC Form 4 can be downloaded from the official website of the U.S. Securities and Exchange Commission (SEC) or obtained from your company's legal department or compliance officer. Ensure you have the most recent and updated version of the form.
2. Provide your personal information: Start by entering your full legal name, mailing address, and contact details. This information will help the SEC identify you as the filer of the form.
3. Identify the reporting entity: State the name of the company or organization you represent, along with its mailing address and contact details. This enables the SEC to associate the form with the appropriate entity.
4. Include the date of the transaction: Indicate the date when the transaction triggering the filing occurred. This could be the date of acquisition or disposition of securities.
5. Describe the nature of the transaction: Provide a detailed description of the transaction, including whether it involved the acquisition or disposal of securities, the type of securities involved, the price, and the number of securities bought or sold.
6. File a statement regarding ownership: If the transaction resulted in a change in ownership, state whether you are now a direct or indirect beneficial owner and specify the number of securities you hold following the transaction.
7. Attach any necessary exhibits: If required, attach supporting documentation or exhibits that provide additional information about the transaction. This may include contracts, agreements, or agreements related to the acquisition or disposition of securities.
8. Sign and date the form: Once you have completed all the necessary fields, sign and date the form to certify its accuracy and compliance with SEC regulations.

Who needs SEC Form 4 dated?

1. Corporate insiders: SEC Form 4 is primarily used by corporate insiders, including directors, officers, and those with 10% or more ownership in a public company. These individuals are required to report their transactions involving company securities to ensure transparency and prevent insider trading.
2. Employees with stock-based compensation: Individuals who receive stock options, restricted stock units (RSUs), or other forms of stock-based compensation as part of their employment may also need to fill out SEC Form 4 to report the acquisition or disposal of those securities.
3. Shareholders with significant holdings: Shareholders who own 10% or more of a company's shares are considered beneficial owners and must disclose their transactions using SEC Form 4.

It's important to consult with legal or compliance professionals to determine if you fall into any of these categories and require the filing of SEC Form 4.

For pdfFiller’s FAQs

What is sec form 4 dated?

SEC Form 4 is dated based on the date the insider transaction took place.

Who is required to file sec form 4 dated?

Corporate insiders such as officers, directors, and beneficial owners of more than 10% of a class of a company's equity securities are required to file SEC Form 4.

How to fill out sec form 4 dated?

SEC Form 4 is filled out with details of insider transactions including the date, type, description, and amount of securities traded.

What is the purpose of sec form 4 dated?

The purpose of SEC Form 4 is to provide transparency and accountability regarding insider trading activities.

What information must be reported on sec form 4 dated?

Information such as the insider's name, relationship to the company, transaction details, and whether the transaction was a purchase or sale of securities must be reported on SEC Form 4.

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