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SEC Form 4 FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 32350287 February 28, 2011, Expires: Estimated average burden hours per response: Filed pursuant to Section

How to fill out sec form 4

How to fill out SEC Form 4?

1. Obtain the SEC Form 4: Start by acquiring the official SEC Form 4 from the appropriate source. This can usually be obtained from the Securities and Exchange Commission's website or through other authorized channels.
2. Identify the required information: Before filling out the form, familiarize yourself with the necessary information that needs to be provided. SEC Form 4 typically requires details such as your name, title, relationship to the company, and transaction details.
3. Fill in personal information: Begin by filling in your personal information accurately. This includes your full name, contact details, and any other necessary identification information.
4. Provide company details: Next, include relevant details about the company for which you are filling out the form. This may include the company's name, address, and other identifying information.
5. Specify transaction details: In this section, provide a comprehensive account of the transaction for which the form is being filled. Include the date of the transaction, the type of security involved, nature of transaction (e.g., acquisition, disposition), and any other relevant details required by SEC Form 4.
6. Disclose ownership information: If the transaction involves a change in ownership of securities, provide details about the securities being acquired or disposed of. Include the number of shares or units involved, their value, and any other pertinent ownership information.
7. Indicate reporting status: Determine if the transaction is eligible for deferred reporting. If not, tick the appropriate box to indicate that the transaction is subject to immediate reporting.
8. Sign and date the form: Finally, review the information provided on the form to ensure its accuracy. Once confirmed, sign and date the form to certify its completeness and truthfulness.

Who needs SEC Form 4?

1. Directors and officers: Directors and officers of public companies are typically required to file SEC Form 4 to disclose any changes in their ownership of the company's securities. This helps ensure transparency and prevents insider trading.
2. Beneficial owners: Individuals who hold more than 10% of a company's voting stock or shares are considered beneficial owners and are also required to file SEC Form 4 to report any changes in their ownership interests.
3. Issuers and insiders: SEC Form 4 is also necessary for issuers of securities, such as companies or insiders with access to non-public information, to report their transactions and maintain compliance with securities regulations.

Remember to consult with legal or financial professionals for specific guidance on filling out SEC Form 4, as requirements may vary based on individual circumstances and jurisdiction.

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