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SEC Form 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION FORM 3 OMB APPROVAL Washington, D.C. 20549 OMB Number: INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 32350104 Estimated ave rage

How to fill out sec form 3

How to Fill Out SEC Form 3:

1. Start by obtaining a copy of SEC Form 3, which is also known as the Initial Statement of Beneficial Ownership of Securities. This form is typically used by individuals who have recently become beneficial owners of more than 10% of a company's registered equity securities.
2. Fill in the required personal information, such as your name, address, and contact details. Make sure to provide accurate and up-to-date information in each field.
3. Indicate your citizenship status and provide any necessary documentation to support your claim, if required.
4. Provide details about the company whose securities you have become a beneficial owner of. This includes the official name of the company, its trading symbol, and the class of securities.
5. Declare the nature of your ownership by selecting one of the provided options, such as direct ownership, indirect ownership, or ownership through a trust or proxy arrangement. If applicable, provide additional information regarding the arrangement.
6. Disclose the date of the transaction or event that resulted in your becoming a beneficial owner of the securities. Include any relevant details, such as the type of transaction (purchase, gift, inheritance, etc.) and the number of securities acquired.
7. Next, report any transactions relating to these securities that have taken place within the past 60 days. This includes any purchases, sales, gifts, or other transfers. Provide the transaction date, transaction code, and number of securities involved for each transaction.
8. Sign and date the form, certifying that the information provided is accurate and complete to the best of your knowledge. Additionally, you may need to have the form notarized depending on the specific requirements of the jurisdiction or exchange where the securities are registered.
9. Submit the completed SEC Form 3 to the appropriate regulatory body or exchange, following their specific submission procedures and deadlines.

Who Needs SEC Form 3?

1. Individuals who have acquired beneficial ownership of more than 10% of a company's registered equity securities need to file SEC Form 3.
2. This requirement applies to both direct and indirect owners, including those who have acquired ownership through a trust or proxy arrangement.
3. The purpose of SEC Form 3 is to provide transparency and disclosure regarding significant ownership stakes in publicly traded companies. It helps regulators and the investing public to identify major shareholders and monitor potential conflicts of interest or insider trading activities.

For pdfFiller’s FAQs

What is sec form 3?

SEC Form 3 is a document filed with the Securities and Exchange Commission (SEC) that is used to report an initial statement of beneficial ownership of securities.

Who is required to file sec form 3?

Insiders of a company, such as officers, directors, and beneficial owners of more than 10% of a class of the company's equity securities, are required to file SEC Form 3.

How to fill out sec form 3?

To fill out SEC Form 3, one must provide information about their identity, relationship to the company, details of the securities being reported, and any transactions involving those securities.

What is the purpose of sec form 3?

The purpose of SEC Form 3 is to disclose a person's initial ownership of a company's securities to ensure transparency and prevent insider trading.

What information must be reported on sec form 3?

SEC Form 3 requires reporting of personal information, relationship to the company, details of securities owned, and any transactions involving those securities.

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