Get the free SEC Form 4 Statement of Changes in Beneficial Ownership

Get Form

We are not affiliated with any brand or entity on this form

Fill out

Complete the form online in a simple drag-and-drop editor.

eSign

Add your legally binding signature or send the form for signing.

Share

Share the form via a link, letting anyone fill it out from any device.

Export

Download, print, email, or move the form to your cloud storage.

Why pdfFiller is the best tool for your documents and forms

Learn more about security

End-to-end document management

From editing and signing to collaboration and tracking, pdfFiller has everything you need to get your documents done quickly and efficiently.

Accessible from anywhere

pdfFiller is fully cloud-based. This means you can edit, sign, and share documents from anywhere using your computer, smartphone, or tablet.

Secure and compliant

pdfFiller lets you securely manage documents following global laws like ESIGN, CCPA, and GDPR. It's also HIPAA and SOC 2 compliant.

What is SEC Form 4

The SEC Form 4 Statement of Changes in Beneficial Ownership is a legal document used by insiders to report changes in their ownership of securities to the U.S. Securities and Exchange Commission.

pdfFiller scores top ratings on review platforms

Show more Show less

Fill fillable SEC 4 form: Try Risk Free

Rate free SEC 4 form

4.6

satisfied

63 votes

Who needs SEC Form 4?

Explore how professionals across industries use pdfFiller.

SEC Form 4 is needed by:

Company directors and officers
Major shareholders
Investment managers and advisors
Corporate legal teams
Compliance officers
Finance professionals

Comprehensive Guide to SEC Form 4

What is the SEC Form 4 Statement of Changes in Beneficial Ownership?

The SEC Form 4 is a crucial legal document that reports changes in beneficial ownership of securities by company insiders. This form serves to disclose transactions involving company stock or other securities made by directors, officers, and major shareholders. The requirement to file the SEC Form 4 is imposed on specific reporting persons who engage in transactions that alter their ownership status.

Understanding the implications of these filings is essential as they maintain market transparency and integrity. Filing this document ensures that stakeholders are aware of insider activities, including trades that could impact the company's stock value.

Purpose and Importance of the SEC Form 4

The primary purpose of the SEC Form 4 is to uphold transparency within the securities market. By mandating that insiders report their transactions, the form plays a pivotal role in preventing insider trading and promoting fair market practices. This accountability is in line with the Securities Exchange Act, which outlines legal requirements for disclosures.

Insiders, or those with privileged access to important company information, have a legal responsibility to file these disclosures accurately and promptly. The SEC Form 4 filing provides necessary insights that can influence investor decisions, ensuring the integrity of the marketplace.

Key Features of the SEC Form 4

The SEC Form 4 comprises several key components that facilitate the reporting process. Important fillable fields include:

Name and Address of Reporting Person
Issuer Name and Ticker
Date of Earliest Transaction

Moreover, the form contains signature requirements, reinforcing its legal validity. It's essential for the reporting person to complete all sections accurately to ensure compliance with SEC regulations.

Who Needs to File the SEC Form 4?

Individuals and entities required to file the SEC Form 4 typically include corporate directors, executive officers, and major shareholders, all classified as reporting persons. Understanding who qualifies as a reporting person is critical as they bear the responsibility of timely reporting any changes in ownership.

These people are typically associated with companies that are publicly traded or have their shares registered under the Securities Exchange Act, like ERA Group Inc.

Steps for Filling Out the SEC Form 4 Online

To successfully fill out the SEC Form 4 using pdfFiller, follow these steps:

Access the pdfFiller platform and locate the SEC Form 4 template.
Enter the required information in the designated fields.
Review your entries for accuracy before proceeding.
Add your signature as required.
Submit the form electronically to the SEC through the platform.

Each step is designed to streamline the form filling process while ensuring compliance with all necessary guidelines.

Common Mistakes When Filing the SEC Form 4

Filing the SEC Form 4 can present challenges. Common errors include:

Incorrectly filling out required fields.
Failure to sign the form.
Missing deadlines for submission.

To avoid these mistakes, double-check all entries before submission and ensure you are familiar with the filing schedule. Understanding these common pitfalls can significantly improve the accuracy of your filings.

Where and How to Submit the SEC Form 4

The SEC Form 4 can be submitted electronically through the SEC's EDGAR system. This method simplifies the filing process, allowing for immediate confirmation of receipt. Key submission details include:

Ensure your filing complies with SEC regulations.
Be aware of deadlines associated with your transactions.

Filing on time is vital to avoid penalties and to maintain compliance with SEC requirements.

Security and Compliance with the SEC Form 4

When filing the SEC Form 4, ensuring security and compliance is paramount. pdfFiller employs multiple measures to protect sensitive information, including:

256-bit encryption for data security.
Compliance with SOC 2 Type II standards.
Adherence to HIPAA and GDPR privacy regulations.

These initiatives help guarantee that personal and transaction details remain secure throughout the filing process.

Get Started with pdfFiller for Your SEC Form 4 Needs

Utilizing pdfFiller for your SEC Form 4 needs offers an array of benefits. The platform is designed for ease of use, making it convenient to fill, edit, and submit your form efficiently. Its user-friendly features cater specifically to the requirements of SEC Form 4 filings, offering a streamlined solution for users.

By leveraging pdfFiller's capabilities, you can enhance your filing experience while ensuring compliance and security.

Last updated on Mar 15, 2016

How to fill out the SEC Form 4

1.

Access pdfFiller and search for 'SEC Form 4' in the template library.
2.

Open the form and review the available fillable fields, including 'Name and Address of Reporting Person' and 'Issuer Name and Ticker'.
3.

Before filling out the form, gather necessary information such as transaction dates, types, amounts, and prices of securities.
4.

Begin completing the fields by entering accurate details about the reporting person’s information and their relationship to the issuer.
5.

Utilize checkboxes for relevant options and ensure all required fields are filled out thoroughly.
6.

Review the completed form carefully to check for any errors or missing information before finalizing it.
7.

Once verified, utilize pdfFiller's options to save your form in a chosen format, download a copy for your records, or submit the form electronically if needed.

FAQs

If you can't find what you're looking for, please contact us anytime!

Contact Support

Who needs to file SEC Form 4?

SEC Form 4 must be filed by company insiders, including directors, officers, and major shareholders, whenever they make changes to their beneficial ownership of company securities.

What information is required to complete SEC Form 4?

To complete SEC Form 4, you need detailed information about the transaction, including the date, type, amount, price of the securities, and the reporting person's relationship with the issuer.

How do I submit SEC Form 4 after filling it out?

After completing SEC Form 4 on pdfFiller, you have the option to download the form for offline submission or submit it electronically, following your company's reporting protocols.

What are common mistakes to avoid when filling out SEC Form 4?

Common mistakes include omitting required fields, providing incorrect transaction details, and failing to file the form within the required timeframe, which can lead to compliance issues.

Are there deadlines for filing SEC Form 4?

Yes, SEC Form 4 must be filed within two business days following the date of the transaction, making timely completion and submission crucial.

Is notarization required for SEC Form 4?

No, SEC Form 4 does not require notarization. However, the form must be accurately completed and signed by the reporting person.

What happens if I file SEC Form 4 late?

Filing SEC Form 4 late may result in penalties or enforcement actions by the SEC. It’s essential to adhere to the filing deadlines to remain compliant.