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This document is filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 to report changes in beneficial ownership of securities.
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How to fill out statement of changes in
How to fill out Statement of Changes in Beneficial Ownership of Securities
01
Obtain the Statement of Changes in Beneficial Ownership form (Form 4) from the SEC website.
02
Fill in your name and the name of the reporting company at the top of the form.
03
Provide your relationship to the issuer (e.g., officer, director, 10% shareholder).
04
List the date of the transaction and the amount of securities involved.
05
Indicate whether the change in ownership was due to an acquisition, disposition, or other factors.
06
If applicable, provide details about the price per share and the transaction type (e.g., market purchase).
07
Sign and date the form certifying that the information provided is accurate.
08
Submit the form electronically through the EDGAR system within the prescribed time frames.
Who needs Statement of Changes in Beneficial Ownership of Securities?
01
Individuals who are officers, directors, or significant shareholders (holding more than 10% of a company's stock) of publicly traded companies are required to file the Statement of Changes in Beneficial Ownership of Securities.
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What happens if I don't file a Beneficial Ownership information report?
Failure to file may become extremely costly, with civil penalties starting at $500 per day and criminal penalties of up to $10,000 and/or two years in prison.
What is the statement of changes in beneficial ownership of securities?
Form 3 is a document that a company insider or major shareholder must file with the SEC. The information provided on the form is meant to disclose the holdings of directors, officers, and beneficial owners of registered companies and becomes public record.
What is a statement of beneficial ownership?
Form 3 – Initial Statement of Beneficial Ownership of Securities. Form 3 must be filed within 10 days of any individual or entity first becoming an insider. Form 3 includes the details of any equity securities of the public company that the insider beneficially owns at the time of becoming an insider.
What is an example of Beneficial Ownership?
A beneficial owner is someone who owns at least part of a property or other asset, even if its legal title is owned by someone else. That person can also vote on or otherwise influence decisions regarding transactions involving that asset or property. An example is a corporate shareholder.
Who fills out the Beneficial Ownership form?
Certain types of corporations, limited liability companies, and other similar entities created in or registered to do business in the United States must report information about their beneficial owners — the persons who ultimately own or control the company — to FinCEN as of Jan. 1, 2024.
What is a Beneficial Ownership statement?
Beneficial ownership information refers to identifying information about the individuals who directly or indirectly own or control a company. [Issued March 24, 2023]
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What is Statement of Changes in Beneficial Ownership of Securities?
The Statement of Changes in Beneficial Ownership of Securities is a document that must be filed with the SEC, which discloses the transactions and holdings of beneficial owners of securities. It provides transparency regarding ownership and changes in ownership of stock by insiders.
Who is required to file Statement of Changes in Beneficial Ownership of Securities?
Individuals who are considered beneficial owners of a company's securities, such as officers, directors, and significant shareholders who own more than 10% of a company's stock, are required to file this statement.
How to fill out Statement of Changes in Beneficial Ownership of Securities?
To fill out the Statement of Changes in Beneficial Ownership, you need to provide details such as the owner's name, relationship to the company, the nature of the ownership, the type of securities involved, transaction dates, number of shares bought or sold, and the price at which the transactions occurred.
What is the purpose of Statement of Changes in Beneficial Ownership of Securities?
The primary purpose of this statement is to increase transparency in the market by informing shareholders and potential investors about the trading activities of company insiders, which can be indicative of the company's financial health and prospects.
What information must be reported on Statement of Changes in Beneficial Ownership of Securities?
The statement must report the name and address of the beneficial owner, the relationship to the issuer, the date of transaction, the number of shares involved, the price at which the transaction occurs, and any other relevant details regarding the type of ownership.
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