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SEC FORM 3 1 of 1 http://www.sec.gov/Archives/edgar/data/1559053/000114036114003367/... SEC Form 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION FORM 3 OMB APPROVAL Washington, D.C. 20549 INITIAL

How to fill out sec form 3 1

How to fill out SEC Form 3-1:

1. Obtain the form: The SEC Form 3-1 can be obtained from the official website of the Securities and Exchange Commission (SEC). It is important to ensure that you are using the most recent version of the form.
2. Provide personal information: The form requires you to fill in your personal information such as your name, address, phone number, and email address. Make sure to double-check the accuracy of the information provided.
3. State the reason for filing: Indicate the reason for filing the SEC Form 3-1. This form is typically used to report initial statements of beneficial ownership of securities. Provide a clear and concise explanation for the purpose of your filing.
4. Report details of beneficial ownership: Specify the details of the securities you own or have beneficial ownership in. This includes the type of security, the class or series of the security, the issuer's name, and the date of acquisition or transfer.
5. Disclose transaction details: If there have been any transactions involving the securities in question, provide the necessary details such as the date of the transaction, the nature of the transaction (e.g., purchase, sale, gift), and the price or value of the securities involved.
6. Sign and date the form: Once you have completed filling out the SEC Form 3-1, sign and date the form as an affirmation that the provided information is true and accurate to the best of your knowledge.

Who needs SEC Form 3-1:

1. Corporate insiders: SEC Form 3-1 is primarily used by corporate insiders. This includes executives, directors, and beneficial owners of more than 10% of a public company's equity securities.
2. New executives and directors: When individuals join a company's board of directors or become executive officers, they are required to file SEC Form 3-1 within a specified period of time to disclose their ownership of securities in the company.
3. Changes in beneficial ownership: Any changes in the beneficial ownership of securities by corporate insiders need to be reported through SEC Form 3-1. This ensures transparency and accountability in the disclosure of ownership interests.

For pdfFiller’s FAQs

What is sec form 3 1?

SEC Form 3-1 is a form filed with the U.S. Securities and Exchange Commission (SEC) to report the initial statement of beneficial ownership of securities.

Who is required to file sec form 3 1?

Anyone who becomes a beneficial owner of more than 5% of a publicly traded company is required to file SEC Form 3-1.

How to fill out sec form 3 1?

To fill out SEC Form 3-1, you need to provide information about the beneficial owner and the securities they hold. This includes details such as the owner's name, address, and relationship to the company, as well as the type and amount of securities owned.

What is the purpose of sec form 3 1?

The purpose of SEC Form 3-1 is to provide transparency and disclosure regarding the ownership of securities by beneficial owners. It helps investors and the SEC monitor significant changes in ownership.

What information must be reported on sec form 3 1?

SEC Form 3-1 requires the reporting of information such as the beneficial owner's name, address, relationship to the company, and the type and amount of securities owned. It may also require additional details regarding transactions or agreements related to the securities.

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