Get the free SEC Form 4 - MLee - Supertex

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES OMB Number: 3235-0287 Expires: January 31, 2005, Estimated

How to fill out sec form 4

How to fill out sec form 4:

1. Obtain the necessary form: SEC Form 4 can be downloaded from the official website of the U.S. Securities and Exchange Commission (SEC) or obtained from your company's legal or compliance department.
2. Provide personal information: Fill out the required fields with your personal information, including your name, address, and social security number. Make sure all information is accurate and up-to-date.
3. Specify transaction details: Indicate the date of the transaction, the nature of the transaction (such as a purchase or sale of securities), and the securities involved. Provide the exact number of securities bought or sold and the price at which the transaction occurred.
4. Report the ownership status: If the transaction involves a change in your ownership status, make sure to accurately report the number of securities owned before and after the transaction. This includes any options, warrants, or other derivative securities that you hold.
5. Disclose the relationship to the company: If you are an officer, director, or 10% owner of the company whose securities are being traded, state your relationship to the company in the appropriate section.
6. Include any other required information: SEC Form 4 may ask for additional information based on the specifics of your transaction or ownership status. Ensure that you provide all necessary details accurately and completely.
7. Sign and date the form: Once you have filled out all the required fields, sign and date the form in the designated section.

Who needs sec form 4?

1. Corporate insiders: SEC Form 4 is primarily used by corporate insiders to report their transactions involving securities of their company. This includes officers, directors, and beneficial owners of more than 10% of the company's securities.
2. Reporting companies: Companies listed on U.S. stock exchanges are required to file SEC Form 4 for any transactions made by their officers, directors, and significant shareholders, as a means of providing transparency to investors.
3. Regulatory compliance teams: Legal or compliance teams within companies are responsible for ensuring that all applicable SEC forms, including Form 4, are properly filled out and filed in a timely manner.
4. Investors: Although not required to file SEC Form 4 themselves, investors use the information disclosed on the form to gain insights into the buying and selling activities of corporate insiders, which may influence their own investment decisions.

For pdfFiller’s FAQs

What is sec form 4?

SEC Form 4 is a filing document used to report an insider's transactions in their company's securities.

Who is required to file sec form 4?

Insiders such as directors, officers, and beneficial owners of more than 10% of a registered class of securities are required to file SEC Form 4.

How to fill out sec form 4?

SEC Form 4 should include information about the insider, the issuer, and the details of the transaction(s) such as the type of security, date, price, and quantity. The form should be filed electronically through the SEC's EDGAR system.

What is the purpose of sec form 4?

The purpose of sec form 4 is to provide transparency and ensure that insider trading activities are properly disclosed to the public.

What information must be reported on sec form 4?

SEC Form 4 requires reporting of the insider's identity, relationship to the issuer, details of the securities transaction(s), and any changes in beneficial ownership.

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