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SEC Form 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION FORM 3 OMB APPROVAL OMB Number: Washington, D.C. 20549 Expires: INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 3235 0104 December

How to fill out sec form 3

How to fill out SEC Form 3:

1. Obtain the necessary form: SEC Form 3, also known as the Initial Statement of Beneficial Ownership of Securities, can be found on the official website of the U.S. Securities and Exchange Commission (SEC). Download and print a copy of the form.
2. Provide your personal information: Begin by entering your full legal name, including any suffixes or titles, in the designated space on the form. Include your residential address, phone number, and email address as well.
3. Indicate your role: Specify whether you are an officer, director, or 10% owner of the company for which you are filing. If you fall under multiple categories, select the appropriate checkboxes.
4. Identify the company: Enter the full legal name of the company for which you are filing, along with its ticker symbol and Central Index Key (CIK). The CIK can be obtained from the SEC's EDGAR database or the company's public filings.
5. Declare the security: Provide information about the security you hold or, in the case of beneficial ownership, over which you have control. Include details such as the class of security, the title of the class, and the nature of your ownership or control.
6. Disclose the transaction details: If you are reporting an initial transaction, specify the date of the transaction and whether it was an acquisition or disposition of securities. If you acquired the securities from the company, indicate the nature of the consideration received.
7. File attachments, if necessary: If any additional information or exhibits are required to be filed with SEC Form 3, ensure they are properly attached and referenced in the appropriate sections of the form.
8. Sign and date the form: Provide your electronic or manual signature and indicate the date on which the form is signed. By signing, you are certifying that the information provided is true, complete, and accurate to the best of your knowledge.

Who needs SEC Form 3:

1. Officers and directors: SEC Form 3 must be filed by officers and directors of publicly traded companies in the United States to disclose their beneficial ownership of securities in the company. The form helps in promoting transparency and preventing insider trading.
2. 10% owners: Individuals or entities who hold a beneficial ownership interest of 10% or more in a publicly traded company are required to file SEC Form 3. This enables the SEC and the public to track major shareholders and potential conflicts of interest.
3. Initial public offering (IPO) participants: If you are an executive officer, director, or a 10% owner of a company that is going public through an IPO, you would need to file SEC Form 3 to disclose your beneficial ownership before the offering takes place.

Note: It is important to consult with legal counsel or review the SEC's regulations to ensure compliance with any specific requirements or changes in filing procedures for SEC Form 3.

For pdfFiller’s FAQs

What is sec form 3?

SEC Form 3 is a form required to be filed with the Securities and Exchange Commission (SEC) by directors, officers, and principal security holders of a company.

Who is required to file sec form 3?

Directors, officers, and principal security holders of a company are required to file SEC Form 3.

How to fill out sec form 3?

SEC Form 3 can be filled out electronically through the SEC's EDGAR system. It requires the reporting of information related to ownership of securities in a company.

What is the purpose of sec form 3?

The purpose of SEC Form 3 is to disclose any transactions of securities by insiders of a company, allowing for transparency and ensuring compliance with regulations.

What information must be reported on sec form 3?

SEC Form 3 requires the reporting of information such as the name of the company, the title of the class of securities, transactions involving securities, and the ownership stake of the individual.

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