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SEC Form 4 FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction

How to fill out sec form 4

How to fill out sec form 4:

1. Begin by obtaining a copy of the sec form 4 from the Securities and Exchange Commission's website or your company's Human Resources or Legal Departments.
2. Carefully read the instructions accompanying the form to understand the requirements and disclosures it entails.
3. Fill out the personal information section, including your name, address, and contact details.
4. Provide details about the securities transactions you are reporting, such as the date of the transaction, the nature of the transaction (i.e., acquisition, disposition), the title and class of the security, and the price at which the transaction was completed.
5. If the transaction involves indirect ownership, provide the name of the person or entity having direct ownership and their relationship to you.
6. Describe any gift, inheritance, or other transfer of securities in detail, including the source of the securities and any conditions or restrictions.
7. Indicate any changes in the number of securities you hold beneficially or of which you have voting power.
8. If you are reporting an exemption for the transaction, provide the specific regulatory provision or rule under which the exemption is claimed.
9. Sign and date the form, certifying that the information provided is true and accurate to the best of your knowledge.
10. Submit the completed form to the appropriate recipient, such as your company's Legal or Compliance Department or directly to the SEC, following the specified filing procedures.

Who needs sec form 4:

1. Individuals who are directors, officers, or major beneficial owners (holding more than 10% of a class of equity securities) of publicly traded companies are typically required to file sec form 4.
2. This form is used to report any changes in their ownership or transactions involving the company's securities, such as buying or selling shares, gifts, or inheritances of securities, or any other changes in their beneficial ownership.
3. By filing sec form 4, these individuals provide transparency and public disclosure about their securities transactions, helping to maintain the integrity of the financial markets and protect investors' interests.

For pdfFiller’s FAQs

What is sec form 4?

SEC Form 4 is a document that must be filed with the Securities and Exchange Commission (SEC) to report any changes in ownership of company securities.

Who is required to file sec form 4?

Certain individuals, such as company officers, directors, and certain beneficial owners of company securities, are required to file SEC Form 4.

How to fill out sec form 4?

SEC Form 4 can be filled out electronically on the SEC's EDGAR system. It requires information about the individual filing the form, the company securities being acquired or disposed of, and the nature of the transaction.

What is the purpose of sec form 4?

The purpose of SEC Form 4 is to provide transparency and accountability regarding changes in ownership of company securities by insiders.

What information must be reported on sec form 4?

SEC Form 4 requires the reporting of the individual's relationship to the company, details of the securities being acquired or disposed of, the date of the transaction, and any transactions codes that apply.

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