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This document is an initial statement of beneficial ownership of securities filed by Jon A. DeLuca, reporting his relationship as a Director of Glowpoint, Inc., along with details regarding ownership
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How to fill out form 3 - initial
How to fill out Form 3 - Initial Statement of Beneficial Ownership of Securities
01
Obtain Form 3 from the SEC's website or relevant source.
02
Read the instructions carefully before starting to fill out the form.
03
Provide basic information about the reporting person, including name, address, and occupation.
04
Indicate the relationship to the company, such as officer, director, or beneficial owner.
05
List the securities owned, including the class of securities, number of shares, and the date of ownership.
06
Disclose any transactions related to the securities within the past six months.
07
Sign and date the form to certify that the information is accurate.
08
Submit the completed Form 3 to the SEC and ensure a copy is retained for personal records.
Who needs Form 3 - Initial Statement of Beneficial Ownership of Securities?
01
Individuals or entities who are beneficial owners of equity securities in a public company.
02
Officers and directors of a company who hold shares.
03
Anyone who has a significant stake in a company that requires disclosure to the SEC.
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People Also Ask about
When must Form 3 be filed?
What's a Form 3? When a person becomes an insider (for example, when they are hired as an officer or director), they must file a Form 3 to initially disclose his or her ownership of the company's securities. Form 3 must be filed within 10 days after the person becomes an insider.
What is a Form 3 SEC?
Form 3 collects the initial percentage of beneficial ownership of equity securities for (1) any director or officer of an issuer with a class of equity securities registered pursuant to Section 12 of the Securities Exchange Act of 1934 (Exchange Act); (2) any beneficial owner of greater than 10 percent of a class of
What is Form 3 in the stock market?
Form 3 collects the initial percentage of beneficial ownership of equity securities for (1) any director or officer of an issuer with a class of equity securities registered pursuant to Section 12 of the Securities Exchange Act of 1934 (Exchange Act); (2) any beneficial owner of greater than 10 percent of a class of
What is a Form S-3 SEC?
SEC Form S-3 is a regulatory filing that provides simplified reporting for issuers of registered securities. An S-3 filing is utilized when a company wishes to raise capital, usually as a secondary offering after an initial public offering has already occurred.
What is Form 3 filed for?
What is Form 3 used for? Form 3 is used to: File the initial LLP Agreement with the MCA. Report any changes to the existing LLP Agreement (e.g., change in capital, profit-sharing ratio, or partner roles).
What is a Form 3 with the SEC?
The necessity for a Form 3 filing with the SEC arises when an individual becomes an insider in a firm. The individual must disclose their ownership of the company's securities. Form 3 has specific qualifications on what constitutes an insider and the purpose of the form is to prevent insider trading.
What is a Form 3 form?
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 form 3 in business?
Form 3 is used to: File the initial LLP Agreement with the MCA. Report any changes to the existing LLP Agreement (e.g., change in capital, profit-sharing ratio, or partner roles).
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What is Form 3 - Initial Statement of Beneficial Ownership of Securities?
Form 3 is a document required by the Securities and Exchange Commission (SEC) that provides information about the beneficial ownership of a company's securities by its insiders, including executive officers, directors, and certain shareholders.
Who is required to file Form 3 - Initial Statement of Beneficial Ownership of Securities?
Individuals who are considered insiders of a company, such as executive officers, directors, and shareholders who own more than 10% of a registered class of the company's equity securities, are required to file Form 3.
How to fill out Form 3 - Initial Statement of Beneficial Ownership of Securities?
To fill out Form 3, insiders need to provide their personal information, the name of the issuer, details about their ownership of the securities, and any other required disclosures as specified in the form's instructions. It must be submitted electronically through the SEC's EDGAR database.
What is the purpose of Form 3 - Initial Statement of Beneficial Ownership of Securities?
The purpose of Form 3 is to facilitate transparency in the trading of a company’s securities by disclosing insider ownership and allowing investors to assess potential conflicts of interest or insider trading activities.
What information must be reported on Form 3 - Initial Statement of Beneficial Ownership of Securities?
Form 3 requires reporting of the insider's name and address, the name of the company, the relationship to the company (e.g., officer, director), the number of shares owned, and any other relevant ownership information such as options or derivatives.
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