Form preview

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
Illustration
Fill out
Complete the form online in a simple drag-and-drop editor.
Illustration
eSign
Add your legally binding signature or send the form for signing.
Illustration
Share
Share the form via a link, letting anyone fill it out from any device.
Illustration
Export
Download, print, email, or move the form to your cloud storage.

Why pdfFiller is the best tool for your documents and forms

GDPR
AICPA SOC 2
PCI
HIPAA
CCPA
FDA
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.
Form preview

What is Form 4

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

pdfFiller scores top ratings on review platforms

Users Most Likely To Recommend - Summer 2025
Grid Leader in Small-Business - Summer 2025
High Performer - Summer 2025
Regional Leader - Summer 2025
Show more Show less
Fill fillable 4 form: Try Risk Free
Rate free 4 form
4.7
satisfied
37 votes

Who needs Form 4?

Explore how professionals across industries use pdfFiller.
Picture
Form 4 is needed by:
  • Company officers and directors
  • Shareholders owning more than 10% of shares
  • Legal professionals handling SEC filings
  • Corporate compliance officers
  • Accountants and financial advisors

Comprehensive Guide to Form 4

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

The SEC Form 4 serves a crucial function in maintaining transparency within the financial markets by reporting changes in beneficial ownership of securities. Mandated by Section 16(a) of the Securities Exchange Act of 1934, this form is essential for individuals qualifying as reporting persons, including officers, directors, and shareholders owning more than 10% of a company's shares.
Timely filing of the SEC Form 4 is vital to ensure compliance with legal obligations, reflecting a commitment to transparency for investors and stakeholders alike.

Purpose and Benefits of the SEC Form 4

The SEC Form 4 plays a significant role in disclosing securities transactions, enhancing market transparency and promoting investor protection. By requiring timely reporting, it maintains the integrity of capital markets and aids in detecting insider trading.
Additionally, the form benefits reporting persons by enabling them to monitor and manage their securities transactions effectively, which further contributes to a reliable trading environment.

Who Needs the SEC Form 4 and Eligibility Criteria

The SEC Form 4 must be filed by individuals and entities classified as reporting persons. This category includes:
  • Corporate officers who hold managerial positions
  • Members of the board of directors
  • Shareholders owning over 10% of a company’s shares
Each reporting person must meet specific eligibility criteria and understand their responsibilities associated with filing the SEC Form 4 to maintain compliance.

When and How to File the SEC Form 4

Filing the SEC Form 4 requires awareness of key deadlines, as late submissions may lead to penalties. To file correctly, follow these steps:
  • Access the SEC’s EDGAR system online.
  • Fill out the required fields, including name and address, issuer details, and transaction dates.
  • Submit the form electronically, ensuring you keep a record of your submission.
Adhering to these procedures helps ensure compliance and avoid complications related to late filings.

Filling Out the SEC Form 4: A Step-by-Step Guide

Accurate completion of the SEC Form 4 is essential for reporting changes in beneficial ownership. Key fields to focus on include:
  • Name and Address of Reporting Person
  • Issuer Name and Ticker or Trading Symbol
  • Date of Earliest Transaction
Common mistakes to avoid include omitting required information or mislabeling transaction types. Utilizing digital tools can streamline this process, enhancing accuracy and efficiency.

How to Sign the SEC Form 4: Digital vs. Wet Signatures

Signing the SEC Form 4 requires understanding the differing signature options available. Reporting persons may utilize:
  • Wet signatures, ensuring all standard requirements are met
  • Digital signatures, which simplify the submission process
When eSigning, tools like pdfFiller can provide convenience and security throughout the signing process.

What to Do After Submitting the SEC Form 4

Once the SEC Form 4 is submitted, it is crucial to confirm receipt and track its status. Common reasons for rejections include:
  • Incomplete information on the form
  • Filing outside of the required time frame
If necessary, procedures for correcting or amending the submission must be followed to ensure compliance with SEC regulations.

Security and Compliance with the SEC Form 4

Ensuring security during the filing process of the SEC Form 4 is non-negotiable. Key measures include:
  • Utilization of secure platforms like pdfFiller for handling sensitive documents
  • Compliance with regulations such as HIPAA and GDPR to protect personal and financial data
Implementing best practices in record retention is essential for safeguarding important information.

Why Use pdfFiller for Your SEC Form 4 Needs

pdfFiller offers a comprehensive solution for managing the SEC Form 4, providing users with an accessible platform for form completion. Key features include:
  • Ease of use, allowing for straightforward editing and filling of forms
  • Digital signing capabilities to streamline the submission process
  • Secure storage options to maintain compliance and confidentiality
Choosing pdfFiller ensures a smooth and efficient experience in handling SEC Form 4 submissions.

Complete Sample of an SEC Form 4

Reviewing a completed SEC Form 4 can provide valuable insights for first-time filers. An annotated example includes:
  • A filled SEC Form 4 illustrating the filling format and expected information
  • Explanations of each section in relation to real-life scenarios
This resource helps demystify the process, enhancing understanding and confidence in managing the form.
Last updated on Mar 26, 2016

How to fill out the Form 4

  1. 1.
    Access the SEC Form 4 by visiting pdfFiller and searching for 'SEC Form 4'. Select the correct document from the search results.
  2. 2.
    Open the document within pdfFiller’s editing interface where you can easily navigate through the fillable fields.
  3. 3.
    Prepare by gathering the necessary information such as your name, address, issuer name, and details of the transaction.
  4. 4.
    Fill in 'Name and Address of Reporting Person' accurately, ensuring all information matches your official records.
  5. 5.
    Next, enter the 'Issuer Name and Ticker or Trading Symbol', which identifies the company associated with the securities.
  6. 6.
    Provide the 'Date of Earliest Transaction' to specify when the ownership change occurred.
  7. 7.
    Complete all relevant sections including transaction details and the type of ownership stake you are reporting.
  8. 8.
    After completing the form, review each section to ensure accuracy and completeness.
  9. 9.
    Finalize the form by adding your signature in the designated area, along with the date of signing.
  10. 10.
    Save your completed form by clicking the save option in pdfFiller, and download it to your device.
  11. 11.
    If required, submit the completed SEC Form 4 through the appropriate SEC filing channels.
Regular content decoration

FAQs

If you can't find what you're looking for, please contact us anytime!
Contact Support
Eligible filers include company officers, directors, and shareholders who own more than 10% of a company's shares. They must file the form to report any changes in their beneficial ownership.
SEC Form 4 must be filed within two business days following the date of the transaction that resulted in a change of beneficial ownership.
The SEC Form 4 should be submitted electronically using the SEC's EDGAR system. Ensure your filing is complete to avoid delays.
Generally, SEC Form 4 does not require supporting documents. However, you may need to maintain records of transactions for reference and compliance purposes.
Common mistakes include missing deadlines, incorrect reporting of ownership percentages, and failure to sign the form. Double-check all entries for accuracy before submission.
Processing of SEC Form 4 confirmations takes a few business days. However, the form is immediately available online after submission via EDGAR.
Ensure that all reported changes accurately reflect your ownership status and transactions. Be mindful of the legal implications of inaccurate filings.

Related Forms

Whole Life Protector Application
Whole Life Protector Application
Accidental death new business memo whole life protector application telephone: 8004283001 regular mail: united home
Fill out
Term Life Insurance Application
Term Life Insurance Application
Term life regular mail: united home life insurance company p.o. box 7192 indianapolis, in 46207-7192
Fill out
Nevada Life Insurance Application
Nevada Life Insurance Application
Nevada application kit immediate solution easy solution 10 pay solution l120 0210 nv 05 67864
Fill out
Hawaii Life Insurance Application
Hawaii Life Insurance Application
Hawaii application kit immediate solution easy solution 10 pay solution l120 0210 hi 05 67864
Fill out
City of Davis Waiver of Liability
City of Davis Waiver of Liability
City of davis community services division 600 a street, suite c, davis, ca 95616 (530)
Fill out
Massachusetts Life Insurance Application
Massachusetts Life Insurance Application
Massachusetts application kit immediate solution easy solution 10 pay solution l120 0210 ma 05 67864
Fill out
Term Life Insurance Application
Term Life Insurance Application
Term life regular mail: united farm family life insurance company p.o. box 7192 indianapolis, in
Fill out
Rice Lake Animal Hospital Pet Information Form
Rice Lake Animal Hospital Pet Information Form
Welcome to rice lake animal hospital, inc. please print clearly date owner information: name: spouse/other:
Fill out
Mid-Year Report Form
Mid-Year Report Form
A for the period beginning 01/01/2013 b check applicable box: initial report and ending 06/30/2013
Fill out
Iowa Campaign Disclosure Form DR-2
Iowa Campaign Disclosure Form DR-2
For instructions, see back of form disclosure summary page dr2 disclosure (rev. 12/2005) committee name
Fill out

Related Features

Enable Session Inactivity Timeout on iOS
Get a Reward with Referral Program
Ensure Double Factor Authentication to Protect Documents
Set Signer Name Requirements
Create Pre-filled Form

Get the latest insights from our blog

Can Your Non-Profit Make Things Easy with 990 EZ?
Can Your Non-Profit Make Things Easy with 990 EZ?
The 990 EZ Form: reporting for smaller tax-exempt organizations Continuing on PDFfiller‘s review of tax forms, we learn more about which organizations...
Read more
Form 990 & 990EZ: Tax Returns for Exempt Organizations
Form 990 & 990EZ: Tax Returns for Exempt Organizations
This post was updated in April 2018 An organization with 501(c) status is exempt from taxation by the federal government, but that doesn’t mean it is ...
Read more
Form 990-EZ: Reporting for Smaller Tax-Exempt Organizations
Form 990-EZ: Reporting for Smaller Tax-Exempt Organizations
Form 990-EZ: Short Form Return of Organization Exempt From Income Tax Continuing with PDFfiller’s review of tax forms, let’s look more at which organi...
Read more
If you believe that this page should be taken down, please follow our DMCA take down process here .
This form may include fields for payment information. Data entered in these fields is not covered by PCI DSS compliance.