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SECURITIES AND EXCHANGE COMMISSION FORM 4 Statement of changes in beneficial ownership of securities Filing Date: 2013-01-24 Period of Report: 2013-01-23 SEC Accession No. 0001209191-13-004190 (HTML

How to fill out form 4 - sec

How to Fill Out Form 4 - SEC:

1. Obtain the form: You can download Form 4 - SEC from the official website of the U.S. Securities and Exchange Commission (SEC) or obtain a physical copy from the SEC office.
2. Provide personal information: Fill in your full legal name, address, phone number, and email address in the designated sections of the form.
3. Disclose ownership details: Indicate whether you are a director, officer, or 10% owner of the company. If applicable, provide the name of the reporting company and its Central Index Key (CIK) number.
4. Report transaction details: Specify the date of the transaction, the type of transaction (buy, sell, gift, etc.), and the number of shares or units involved.
5. Describe the security: Provide a detailed description of the security involved in the transaction, including the name of the issuer, ticker symbol, class of security, and CUSIP number, if available.
6. Report details of the transaction: Disclose the nature of the transaction (open market, private sale, exercise of options, etc.) and the per-share or unit value at which the transaction took place.
7. Indicate the method of transaction: Specify whether the transaction was conducted directly or indirectly (through a trust, partnership, etc.).
8. Attach necessary documentation: Include any attachments or exhibits required to support the information provided in the form, such as transaction confirmations or stock certificates.
9. Sign and date the form: Affix your signature, along with the date of completion, certifying that the information provided is true, correct, and complete to the best of your knowledge.

Who needs Form 4 - SEC:

1. Directors and officers of publicly traded companies: Any member of a company's board of directors or an executive officer who conducts transactions involving the company's securities is required to file Form 4 - SEC.
2. 10% owners of publicly traded companies: Individuals or entities that own 10% or more of a company's equity securities must also file Form 4 - SEC.
3. Beneficial owners: If you are deemed a beneficial owner of a company's securities and directly or indirectly influence its management or policies, you may also be required to file Form 4 - SEC.

It is important to note that the requirements for filing Form 4 - SEC may vary depending on specific circumstances and should be verified with the SEC or legal professionals to ensure compliance with applicable regulations.

For pdfFiller’s FAQs

What is form 4 - sec?

Form 4 - sec refers to a mandatory filing document required by the Securities and Exchange Commission (SEC) for reporting changes in ownership of securities of public companies.

Who is required to file form 4 - sec?

Individuals who are considered insiders, such as company officers, directors, and beneficial owners, are required to file form 4 - sec to report their transactions involving securities of the company they are associated with.

How to fill out form 4 - sec?

To fill out form 4 - sec, you need to provide information about the reporting person's identity, the company's details, and the details of the securities transactions. This includes the date of the transaction, type of transaction, securities involved, and the ownership before and after the transaction.

What is the purpose of form 4 - sec?

The purpose of form 4 - sec is to promote transparency and to provide investors with timely information regarding the changes in ownership of securities by insiders. It helps to prevent insider trading and ensures proper disclosure of these transactions.

What information must be reported on form 4 - sec?

Form 4 - sec requires the reporting of information such as the reporting person's name, relationship to the company, the type of transaction (e.g., purchase, sale, option exercise), the date of the transaction, the securities involved, the price, the number of securities owned before and after the transaction, and any changes in ownership.

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