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 SEC Form 4

The SEC Form 4 Statement of Changes in Beneficial Ownership is a legal document used by individuals to report changes in their beneficial ownership of securities.

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 SEC 4 form: Try Risk Free
Rate free SEC 4 form
4.6
satisfied
39 votes

Who needs SEC Form 4?

Explore how professionals across industries use pdfFiller.
Picture
SEC Form 4 is needed by:
  • Corporate Officers who hold securities
  • Members of a company's Board of Directors
  • Individuals with more than 10% ownership in equity securities
  • Attorneys-in-fact representing reporting persons
  • Financial Analysts tracking ownership changes
  • Compliance Officers overseeing regulatory requirements

Comprehensive Guide to SEC Form 4

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

The SEC Form 4 is a crucial document under U.S. securities laws used to report changes in beneficial ownership of equity securities. This form is essential for maintaining transparency and compliance in financial reporting. Officers, directors, and individuals holding over 10% of a security class are required to file this form.
Key information reported in the SEC Form 4 includes the title of the security, transaction dates, and the nature of ownership changes. By accurately filling out the SEC Form 4, stakeholders ensure adherence to the Securities Exchange Act, contributing to overall market integrity.

Purpose and Benefits of Filing the SEC Form 4

Filing the SEC Form 4 plays a vital role in regulatory compliance, helping to uphold transparency in transactions involving securities. This standardized form simplifies the reporting process, making it easier for filers to keep accurate records of their beneficial ownership changes.
  • Timely filings minimize the risk of regulatory penalties.
  • Standardization reduces errors associated with manual reporting processes.
  • Late or missing filings can lead to severe consequences, including fines or legal action.

Who Needs to File the SEC Form 4?

The obligation to file the SEC Form 4 extends primarily to those in key company positions, such as Reporting Persons and Attorneys-in-Fact. Individuals must file if they exceed a beneficial ownership threshold of more than 10% of a class of equity securities.
Although there are few exemptions, it is crucial for potential filers to understand their obligations to avoid compliance issues.

How to Fill Out the SEC Form 4 Statement of Changes in Beneficial Ownership Online

Before starting to fill out the SEC Form 4, gather all necessary information, including the transaction date and the title of the security involved. Each section of the form must be completed carefully to ensure accuracy.
  • Begin with the 'Name and Address of Reporting Person' field.
  • Enter the 'Date of Earliest Transaction' accurately.
  • Review all checkboxes and tables to report transactions comprehensively.
Avoid common pitfalls by double-checking entries and ensuring all required fields are filled out properly.

Submission Methods for the SEC Form 4

There are various submission methods available for the SEC Form 4. Filers can submit their completed forms online or through the mail, depending on their preference and the required timeline.
  • Submissions must adhere to strict deadlines based on the nature of the transaction.
  • After submission, ensure you confirm that the form was received by the SEC.
  • Tracking your filing status can help you manage potential follow-ups from the SEC.

What Happens After You Submit the SEC Form 4?

After submitting the SEC Form 4, the SEC initiates a review process to verify the accuracy of the filed information. Filers should be prepared to correct or amend their submissions if any errors are discovered.
Additionally, the SEC may reach out for inquiries or further clarification regarding the filed form.

Security and Compliance for the SEC Form 4

Ensuring data security when filling out and submitting the SEC Form 4 is paramount. Filers should implement measures to protect sensitive information throughout the process.
  • Consider compliance aspects thoroughly to avoid potential issues down the line.
  • Keep detailed records of all filed forms as part of your compliance strategy.

How pdfFiller Can Help You with the SEC Form 4

pdfFiller offers a suite of features designed to streamline the completion and submission of the SEC Form 4. Key functionalities include eSigning, editing, and the ability to create fillable forms, ensuring that users can comply with reporting requirements efficiently.
By utilizing pdfFiller, users can minimize mistakes and facilitate timely filings, which is essential for maintaining compliance with SEC regulations.

Sample Completed SEC Form 4 Statement

To assist users in understanding the SEC Form 4, a sample of a filled form is available. This sample includes annotations highlighting significant sections that new filers may find confusing.
Additionally, a downloadable PDF version of the sample is accessible for convenient reference, further aiding users in the filing process.
Last updated on Mar 29, 2016

How to fill out the SEC Form 4

  1. 1.
    Access pdfFiller by visiting their website and logging into your account or creating a new one if needed.
  2. 2.
    Locate the SEC Form 4 by using the search feature or navigating to the Government Forms section on pdfFiller.
  3. 3.
    Open the form to begin filling it out. Familiarize yourself with the labels and filled sections.
  4. 4.
    Gather all necessary information such as your name, address, transaction dates, amounts of securities involved, and details related to your beneficial ownership.
  5. 5.
    Start with the 'Name and Address of Reporting Person' section and enter your information accurately.
  6. 6.
    Proceed to the 'Date of Earliest Transaction' section and select the appropriate date using pdfFiller's calendar tool.
  7. 7.
    Fill out the 'Title of Security' and 'Amount of Transaction' fields with precise values as per your records.
  8. 8.
    Utilize checkboxes and tables available in the form for reporting multiple transactions clearly and concisely.
  9. 9.
    After completing all required fields, review your entries for any errors or missing information.
  10. 10.
    Once satisfied, finalize the form by using the 'Finalize' option in pdfFiller, ensuring all required signatures are included.
  11. 11.
    To save your completed form, use pdfFiller's 'Download' feature to save a copy to your device or select 'Submit' if electronic submission is allowed.
  12. 12.
    Confirm your submission and check the submission confirmation, if applicable.
Regular content decoration

FAQs

If you can't find what you're looking for, please contact us anytime!
Contact Support
Individuals who are officers, directors, or beneficial owners of more than 10% of a company’s securities are eligible to file SEC Form 4.
SEC Form 4 must be filed within two business days after a transaction occurs to ensure compliance with reporting requirements.
You can submit your completed SEC Form 4 electronically through the SEC’s EDGAR filing system or other approved methods, including through pdfFiller.
Typically, SEC Form 4 does not require supporting documents at the time of filing, but retain any transaction records for your files.
Common mistakes include incorrect transaction dates, inaccurate amounts, failing to include required signatures, and missing the filing deadline.
The processing time for SEC Form 4 can vary, but once filed, it should appear in the SEC’s EDGAR database shortly after processing.
Failing to submit SEC Form 4 on time may result in penalties, including fines or other sanctions from regulatory authorities.

Related Forms

Customer Account Application and Risk Disclosure
Customer Account Application and Risk Disclosure
The linn group, inc. customer applications, agreements and risk disclosure for: individuals, joint accounts, sole
Fill out
Customer Account Application and Agreements
Customer Account Application and Agreements
The line group, inc. customer applications, agreements and risk disclosure for: corporations, partnerships, lcs, trusts,
Fill out
Biology Classification Worksheet
Biology Classification Worksheet
Bio all in1 sgd these ch18 8/7/03 5:19 pm page 345 name class date chapter
Fill out
PTA Activity Report Form
PTA Activity Report Form
Committee report please write a committee report for all pta activities. attach any detailed information
Fill out
CRC Benefits Enrollment Form
CRC Benefits Enrollment Form
Immediately return this and all other completed forms to your human resources representative or send
Fill out
Form 990 Return of Organization Exempt From Income Tax
Form 990 Return of Organization Exempt From Income Tax
Form 990 return of organization exempt from income tax omb no. 15450047 do not enter
Fill out
The Champion of Trees 10K Run Registration Form
The Champion of Trees 10K Run Registration Form
Official application the champion of trees 10k run sunday, april 24, 2016, celebrate the return
Fill out
Texas Property Tax Confidentiality Request Form 50-284
Texas Property Tax Confidentiality Request Form 50-284
P r o p e r t y ta x request for confidentiality form 50284
Fill out
AEM Tier 2 Worksheet Water-Borne Pathogens
AEM Tier 2 Worksheet Water-Borne Pathogens
Aem id: date: aem tier 2 worksheet waterborne pathogens glossary coliform: bacteria whose presence in
Fill out
Texas Agricultural Appraisal Application
Texas Agricultural Appraisal Application
900 13th street po box 887 hempstead, texas 77445 (979)9210060 (979)9210377(fax) waller county appraisal district
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

IRS Form 944: Making it Simpler for Your Smallbiz
IRS Form 944: Making it Simpler for Your Smallbiz
IRS Form 944 – an Important One for Small Business Owners Continuing PDFfiller‘s review of tax forms for business tax reporting, this post will take a...
Read more
Filing a US Tax Court Petition
Filing a US Tax Court Petition
Ugh!  You’ve received a 90-Day Notice of Deficiency from the IRS.  Now what? The next step is for you to file a Tax Court Petition.  Although that mig...
Read more
NJ Case Information Statement
NJ Case Information Statement
Have you ever wondered how courts manage to keep themselves organized?  Most of them use a Case Information Statement (CIS) – a type of a cover sheet ...
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.