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What is Form 4

The Form 4 Statement of Changes in Beneficial Ownership is a legal document used by individuals subject to Section 16 of the Securities Exchange Act to report changes in their beneficial ownership of securities.

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Who needs Form 4?

Explore how professionals across industries use pdfFiller.

Form 4 is needed by:

Corporate executives and directors
Insiders of publicly traded companies
Broker-dealers and investment advisors
Financial compliance officers
Regulatory bodies and the SEC

How to fill out the Form 4

1.

Start by accessing pdfFiller and searching for the Form 4 Statement of Changes in Beneficial Ownership.
2.

Once the form loads, familiarize yourself with the layout which includes multiple sections for reporting transactions.
3.

Gather the required information such as your name, address, issuer name, security title, transaction date, and number of securities involved.
4.

Use the fields provided on pdfFiller to input necessary data, ensuring to accurately detail each transaction.
5.

Pay attention to the boxes and tables, ensuring you categorize your holdings between non-derivative and derivative securities.
6.

After inputting the information, review the form for accuracy, checking all data entries, as errors can lead to compliance issues.
7.

Finalize the form by checking for required signatures, ensuring you have signed in the specified section.
8.

Save your completed form and once satisfied, download it in PDF format or submit it directly through the pdfFiller platform for filing.

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Who is eligible to use Form 4?

Form 4 is specifically designed for individuals who are considered insiders, including executives and directors of publicly traded companies that are subject to Section 16 reporting requirements.

What is the deadline for submitting Form 4?

Form 4 must be filed with the SEC within two business days following the transaction date to comply with the reporting requirements under Section 16 of the Securities Exchange Act.

How do I submit Form 4 once completed?

After completing Form 4 on pdfFiller, you can submit it electronically through the SEC's EDGAR filing system or download it for mailing, depending on your preferred filing method.

What supporting documents are needed for Form 4?

Typically, no additional documents are required when submitting Form 4, but having details of each transaction readily available is crucial for accurate reporting.

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

Ensure that transaction dates and ownership amounts are accurate and match securities records; failing to provide correct information can result in compliance issues.