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This document is a filing with the SEC detailing changes in beneficial ownership of securities by reporting persons as required under the Securities Exchange Act.
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How to fill out sec form 4a
How to fill out SEC Form 4/A
01
Obtain the SEC Form 4/A from the SEC website or your account manager.
02
Fill in the name of the reporting person in the designated section.
03
Provide the issuer's name and their CIK number (Central Index Key).
04
Input your relationship to the issuer (e.g., officer, director, or beneficial owner).
05
List the date of the transaction in the appropriate format.
06
Detail the transaction type (purchase, sale, etc.) and the number of shares involved.
07
Indicate the price per share and the total amount of the transaction.
08
Disclose if the transaction was made in a private or open market.
09
Complete any additional required fields, such as ownership changes or derivatives.
10
Review the form for accuracy and ensure all necessary signatures are included.
11
Submit the completed form electronically to the SEC by the specified deadline.
Who needs SEC Form 4/A?
01
Corporate officers of a publicly traded company.
02
Directors of a publicly traded company.
03
Beneficial owners of more than 10% of a company's stock.
04
Anyone reporting changes in their ownership of company securities.
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People Also Ask about
What is SEC Form 4 used for?
SEC Form 4 is a critical document that insiders of publicly traded companies must file with the Securities and Exchange Commission (SEC) when there's a significant change in their holdings. This ensures transparency and compliance with federal securities laws.
What is the purpose of form four?
A Form S-4 is a M&A registration statement required under the Securities Act of 1933. The purpose of this statement is to give the public notice of a pending merger or acquisition.
What does SEC Form 4 transaction code A mean?
A – Grant, award, or other acquisition. D – Sale (or disposition) back to the issuer of the securities. F – Payment of exercise price or tax liability by delivering or withholding securities.
What is Form 4 filled with the SEC?
Key Takeaways. SEC Form 4 must be filed within two business days for any insider's material change in stock holdings. Company insiders include directors, officers, and significant shareholders who own 10% or more of a company's stock. Failing to file Form 4 can lead to civil or criminal penalties.
What is a SEC Form 4 used for?
What's a Form 4? In most cases, when an insider executes a transaction, he or she must file a Form 4. With this form filing, the public is made aware of the insider's various transactions in company securities, including the amount purchased or sold and the price per share.
What is SEC form 4a?
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP. Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934.
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What is SEC Form 4/A?
SEC Form 4/A is an amendment form that insiders use to report changes in their ownership of a company's securities.
Who is required to file SEC Form 4/A?
Individuals who are considered insiders, such as directors, officers, and large shareholders of a company, are required to file SEC Form 4/A.
How to fill out SEC Form 4/A?
SEC Form 4/A is filled out by providing the updated information regarding the transaction that triggered the amendment, including details about the date, nature of the transaction, and the quantities involved.
What is the purpose of SEC Form 4/A?
The purpose of SEC Form 4/A is to ensure transparency and keep the public informed about changes in insider ownership, enhancing market integrity.
What information must be reported on SEC Form 4/A?
Information reported on SEC Form 4/A includes the insider's name, relationship to the company, transaction date, type of transaction, and the amount of securities involved.
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