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C021002016 SECURITIES AND EXCHANGE COMMISSION SEC FORM 17C CURRENT REPORT UNDER SECTION 17 OF THE SECURITIES REGULATION CODE AND SRC RULE 17.2×c) THEREUNDER 1. Date of Report (Date of the earliest

How to fill out sec form 17c

How to fill out SEC Form 17C:

1. Begin by downloading the SEC Form 17C from the official website of the U.S. Securities and Exchange Commission (SEC).
2. Carefully read through the instructions provided with the form. This will give you a clear understanding of the information you need to provide and how to accurately complete the form.
3. Fill in your personal information in the designated fields. This may include your full name, address, contact details, and Social Security number.
4. Provide the necessary details about the securities you are reporting. This typically includes the name of the security, the issuer's name, the trading symbol, the CUSIP number, and the type of security (e.g., common stock, preferred stock, bonds).
5. Indicate the transaction details such as the date of acquisition or disposition, the number of shares or bonds involved, the price per share or bond, and any fees or commissions paid.
6. Include any relevant supporting documentation as required by the SEC. This may include copies of contracts, agreements, or other relevant paperwork pertaining to the transaction.
7. Review the completed form to ensure that all the information is accurate and properly filled out. Double-check for any errors or omissions.
8. Sign and date the form in the designated space to affirm the accuracy of the information provided.
9. Make a copy of the filled-out form for your records before submitting the original form to the SEC.

Who needs SEC Form 17C:

1. Individuals or entities who are required to report acquisitions or dispositions of securities within a specified time frame are obligated to fill out SEC Form 17C.
2. This includes directors, officers, and principal stockholders of publicly traded companies.
3. Additionally, certain entities like institutional investment managers, including mutual funds, pension funds, and hedge funds, are also required to file SEC Form 17C.
4. It is important to consult the SEC's rules and regulations or seek advice from a legal professional to determine if you specifically need to fill out SEC Form 17C for a particular transaction or situation.

For pdfFiller’s FAQs

What is sec form 17c?

Sec form 17c is a form filed with the Securities and Exchange Commission (SEC) that discloses changes in ownership of securities.

Who is required to file sec form 17c?

Corporate insiders, including officers, directors, and major shareholders, are required to file sec form 17c.

How to fill out sec form 17c?

Sec form 17c can be filled out electronically through the SEC's online filing system or submitted on paper.

What is the purpose of sec form 17c?

The purpose of sec form 17c is to provide transparency and prevent insider trading by disclosing changes in ownership of securities.

What information must be reported on sec form 17c?

Sec form 17c requires reporting of the name of the insider, relationship to the company, type of security, date of transaction, and amount of securities acquired or disposed.

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