Get the free SEC Form 4 M. Lee 02/05/08 - Supertex

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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

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What is sec form 4 m?

Form 4-M is an SEC form that is used to disclose changes in ownership of securities filed by certain institutional investment managers. It is a monthly report that provides information on the ownership, holdings, and transactions related to securities.

Who is required to file sec form 4 m?

Institutional investment managers who meet the criteria set by the Securities and Exchange Commission (SEC) are required to file Form 4-M. These managers include entities such as hedge funds, mutual funds, and other investment companies.

How to fill out sec form 4 m?

To fill out Form 4-M, institutional investment managers need to provide information on their portfolio holdings, including the types of securities held, the number of shares, and the value of those securities. They also need to report any changes in ownership or transactions that occurred during the reporting period.

What is the purpose of sec form 4 m?

The purpose of SEC Form 4-M is to provide transparency and accountability in the financial markets. By requiring institutional investment managers to disclose their ownership and transactions related to securities, the SEC aims to protect investors and ensure fair and orderly markets.

What information must be reported on sec form 4 m?

Form 4-M requires institutional investment managers to report information such as the name of the manager, the name of the security, the amount and value of securities owned, and any changes in ownership or transactions that occurred during the reporting period.

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