Get the free SEC Form 4 FORM 4 OMB APPROVAL

SEC FORM 4 SEC Form 4 FORM 4 Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). UNITED STATES SECURITIES AND EXCHANGE COMMISSION OMB

How to fill out sec form 4 form

How to fill out SEC Form 4 form:

1. Obtain the necessary form: The SEC Form 4, also known as the Statement of Changes in Beneficial Ownership of Securities, can be downloaded from the Securities and Exchange Commission (SEC) website.
2. Provide personal information: Start by entering your name, address, and contact details in the designated fields on the form. It's important to ensure accuracy and consistency with the information you provide.
3. Identify the securities issuer: Indicate the name of the company whose securities you hold or are affiliated with. This information helps the SEC track ownership changes for a specific entity.
4. Disclose the transaction details: Provide the relevant details about the transaction that led to the change in beneficial ownership. Include the date of the transaction, the nature of ownership change (e.g., acquisition, disposition, grant), and the type and class of securities involved.
5. Report the ownership before and after the transaction: Specify the number of securities owned before the transaction, as well as the total amount and percentage of ownership. Likewise, indicate the resulting ownership after the transaction, including any changes in amount or percentage.
6. Disclose the relationship to the issuer: If you are a director, officer, or a direct or indirect beneficial owner of more than 10% of the issuer's securities, you must indicate your role and relationship to the company.
7. File the form within the required timeframe: SEC Form 4 must be filed electronically through the SEC's Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system within two business days of the transaction date. Ensure that you are aware of and adhere to the filing deadlines to avoid any penalties or non-compliance issues.

Who needs SEC Form 4 form?

1. Corporate insiders: Individuals such as directors, officers, and significant shareholders who have access to non-public information about a company may need to fill out and submit SEC Form 4. This ensures transparency and public awareness of changes in their ownership status.
2. Beneficial owners: Anyone who owns more than 10% of a company's securities must also file SEC Form 4 to report any changes in beneficial ownership. This requirement aims to prevent insider trading and promotes accountability in the financial markets.
3. Securities issuers: Companies whose securities are publicly traded on exchanges regulated by the SEC are responsible for ensuring that their corporate insiders and significant shareholders comply with filing SEC Form 4 when necessary.

Remember, it is crucial to consult legal and financial professionals or refer to the official SEC guidelines for accurate and up-to-date information regarding the specific requirements and procedures for filling out SEC Form 4.

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