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SEC FORM 4-Page 1 of 2 SEC Form 4 FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION OMB APPROVAL OMB Number: Washington, D.C. 20549 Check this box if no longer subject to Section 16. Form 4
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How to fill out sec form 4 page
How to fill out SEC Form 4 page?
01
Start by obtaining a copy of SEC Form 4 page. This form is available for download on the official website of the U.S. Securities and Exchange Commission (SEC).
02
Begin by providing your personal information in the designated fields. This includes your full name, title or relationship with the reporting company, and contact details.
03
Indicate the transaction date, which is the date when the reportable transaction occurred. This could be the date of acquisition or disposition of securities.
04
Specify the securities involved in the transaction. Report the name of the issuer and the class of securities under Section 1(a). If you are reporting the acquisition or disposition of more than one type of security, enter the additional details in Section 1(b).
05
State the nature of the transaction in Section 2. Select the appropriate option to indicate whether it was an acquisition, disposition, or other type of transaction. Provide additional details, such as the method of transaction and whether it was a voluntary or involuntary transaction.
06
Report the date of the transaction execution in Section 3(a) and the date of the transaction settlement in Section 3(b). If they occurred on the same date, you can leave Section 3(b) empty.
07
Calculate the number of securities involved in the transaction and specify the ownership nature. For example, if you acquired securities, indicate whether it was direct or indirect ownership.
08
Determine the total number of securities beneficially owned before and after the transaction. This includes any shares held by your spouse, minor children, or other related parties.
09
Explain the reason for filing the report in Section 5. Provide a brief statement describing the purpose or significance of the transaction.
Who needs SEC Form 4 page?
01
Corporate insiders: This includes directors, officers, and beneficial owners who hold a specified amount or percentage of a company's securities. They are required to file SEC Form 4 to disclose their transactions involving the company's securities.
02
Shareholders with more than 10% ownership: If an individual or entity holds more than 10% of a company's securities, they are considered beneficial owners and must file SEC Form 4 when engaging in transactions related to those securities.
03
Issuers or reporting companies: Companies listed on U.S. stock exchanges are required to file SEC Form 4 to report transactions involving their own securities by officers, directors, and principal shareholders.
It is important to note that the above information provides a general overview of how to fill out SEC Form 4 page and who needs to file it. For specific guidance and to ensure compliance with SEC regulations, it is recommended to consult the SEC's official instructions and seek professional advice if necessary.
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What is sec form 4 page?
SEC Form 4 page is a document that must be filed with the Securities and Exchange Commission (SEC) whenever there is a change in ownership of securities by officers, directors, or beneficial owners of a company.
Who is required to file sec form 4 page?
Officers, directors, and beneficial owners of a company are required to file SEC Form 4 page.
How to fill out sec form 4 page?
SEC Form 4 page should be filled out with accurate and complete information regarding the transaction in the securities, including the date of transaction, number of securities bought or sold, and the price per security.
What is the purpose of sec form 4 page?
The purpose of SEC Form 4 page is to provide transparency and accountability in the trading of securities by company insiders, so that investors can make informed decisions.
What information must be reported on sec form 4 page?
Information that must be reported on SEC Form 4 page includes the name of the insider, their relationship to the company, details of the transaction, and any other relevant information.
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