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SEC FORM 4 1 of 1 HTTP://www.sec.gov×Archives×Edgar×data×825788/000149424512000010×... SEC Form 4 FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION OMB APPROVAL Washington, D.C. 20549 3235-0287

How to fill out sec form 4

1. To fill out SEC Form 4, you will need to gather all the necessary information and documents. This includes your personal information such as name, address, and social security number, as well as details about the securities you are reporting on.
2. Start by accessing the SEC's Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system. This is the online platform where you will submit your Form 4. You will need to create an account if you haven't already done so.
3. Once you have access to the EDGAR system, locate the Form 4 template. This form is specifically used for reporting any changes in beneficial ownership of securities, such as buying or selling company stock.
4. Fill in your personal information accurately in the designated sections of the form. This includes your name, address, title or relationship with the company (if applicable), and contact details. Double-check for any errors or missing information.
5. Proceed to the section where you will report the transaction details. This includes the date of the transaction, the type of transaction (buying, selling, or gifting), the securities involved, and the price at which the transaction occurred. Provide all the required details with precision.
6. If the transaction is a derivative transaction, you will need to provide additional information such as the underlying security, exercise price, expiration date, and any other relevant details.
7. The next section of the form focuses on reporting any non-derivative transactions that were previously reported on Form 3 or Form 4. If applicable, provide the required information accurately and include the transaction history.
8. If there are any footnotes or remarks regarding the transaction that you would like to provide, there is a section for that as well. Use this space to explain any additional details or circumstances that may be relevant to the transaction being reported.
9. Finally, carefully review the completed Form 4 for any errors or missing information. Ensure that all sections are correctly filled out and that the form is signed and dated. Submit the form electronically through the EDGAR system.

Who needs SEC Form 4?

1. SEC Form 4 is required to be filed by individuals who are considered "insiders" of a publicly traded company. This includes company officers, directors, and any beneficial owners who hold more than 10% of the company's equity securities.
2. Additionally, anyone who engages in transactions involving the buying, selling, or gifting of securities and meets the reporting requirements set by the Securities and Exchange Commission (SEC) must file Form 4.
3. The purpose of filing Form 4 is to ensure transparency and to provide investors with information regarding the changes in ownership of securities by company insiders. This helps prevent insider trading and promotes fair and open markets.
4. Filing Form 4 is a legal obligation, and failure to do so can result in penalties and legal consequences. It is crucial for individuals who meet the reporting requirements to fulfill their obligations and accurately disclose their transactions on Form 4.

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What is sec form 4?

SEC Form 4 is a document filed with the Securities and Exchange Commission (SEC) in the United States to report transactions in company stock made by directors, officers, and shareholders who own more than 10% of the company.

Who is required to file sec form 4?

Directors, officers, and shareholders who own more than 10% of a company 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 or by submitting a paper form to the SEC.

What is the purpose of sec form 4?

The purpose of SEC Form 4 is to provide transparency to investors about the buying and selling of company stock by insiders.

What information must be reported on sec form 4?

SEC Form 4 requires reporting of the insider's name, their relationship to the company, the type of transaction, the date of the transaction, and the number of shares bought or sold.