Get the free SEC Form 4 dated 9 November 2009 - Donald R Duquette

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

How to fill out sec form 4 dated

How to fill out SEC Form 4 dated:

1. Obtain the SEC Form 4 from the official website of the U.S. Securities and Exchange Commission (SEC).
2. Fill in the required personal information such as your name, title, address, and contact details in the designated fields on the form.
3. Provide the details of the security being reported, including the class, title, and CUSIP (Committee on Uniform Securities Identification Procedures) number if applicable.
4. Indicate the date of the transaction for which the form is being filed, as well as the date of execution if different from the transaction date.
5. Specify the nature of the transaction, whether it is an acquisition, disposition, or other types mentioned in the SEC guidelines.
6. Report the number of securities involved in the transaction, including the amount and unit price if applicable.
7. Calculate and state the value of the securities being reported.
8. Provide a detailed explanation of the transaction, including any terms or conditions involved, and any relationships or affiliations that may affect the accuracy or completeness of the information provided.
9. Sign and date the form to certify the accuracy of the information provided.
10. Submit the completed SEC Form 4 according to the instructions mentioned on the form, which can include the method of submission and the applicable filing fee.

Who needs SEC Form 4 dated:

1. Company Insiders: SEC Form 4 is primarily required to be filed by individuals considered "insiders" of a public company. This includes directors, officers, and employees who may have access to material non-public information about the company.
2. Beneficial Owners: Any person who is the beneficial owner of more than 10% of a registered class of the company's equity securities is also required to file SEC Form 4.
3. Certain Transactions: SEC Form 4 is necessary to report transactions involving the acquisition or disposition of company equity securities, such as buying or selling shares, gifting or receiving securities, or converting options into shares. Additionally, certain derivatives and hedging transactions may require the filing of Form 4.

It is important to note that the specific requirements and thresholds for filing SEC Form 4 may vary, and it is advisable to consult with legal and compliance professionals for accurate guidance depending on individual circumstances.

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What is sec form 4 dated?

SEC Form 4, also known as Statement of Changes in Beneficial Ownership, is a form that must be filed with the Securities and Exchange Commission to report transactions in a company's securities.

Who is required to file sec form 4 dated?

Insiders, such as 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 dated?

SEC Form 4 must be filled out with details of any transactions in a company's securities, including the date of the transaction, the price at which the transaction took place, and the number of securities involved.

What is the purpose of sec form 4 dated?

The purpose of SEC Form 4 is to provide transparency and disclosure of insider transactions in a company's securities.

What information must be reported on sec form 4 dated?

Information such as the date of the transaction, the nature of the transaction, the amount of securities involved, and the person making the transaction must be reported on SEC Form 4.