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SEC FORM 4 1 of 1 http://www.sec.gov/Archives/edgar/data/1356104/000120919113028074/xslF34... SEC Form 4 FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION OMB APPROVAL Washington, D.C. 20549

How to fill out sec form 4 1

How to fill out SEC Form 4-1:

1. Gather the necessary information: Before filling out SEC Form 4-1, ensure that you have all the required information at hand. This includes details about the reporting person, their relationship to the company, and any changes in their ownership or transactions involving securities.
2. Download the form: Locate and download SEC Form 4-1 from the official website of the Securities and Exchange Commission (SEC). The form is typically available in PDF format, and you may also find instructions for filling it out.
3. Provide personal information: Start by entering your personal information in the designated sections of SEC Form 4-1. This usually includes your name, address, contact details, and the date of the filing.
4. Disclose the reporting person's relationship to the company: Specify the reporting person's relationship to the company, whether as an executive officer, director, or beneficial owner. Provide accurate and up-to-date details to ensure compliance.
5. Describe the transaction or ownership change: In this section, provide a detailed description of the transaction or ownership change that triggered the filing of SEC Form 4-1. Include the date of the transaction, the type of security involved, and the nature of the ownership change (e.g., purchase, sale, gift, etc.).
6. Report the holdings before and after the transaction: Calculate and report the reporting person's holdings in the company's securities both before and after the transaction. Provide the number of shares beneficially owned and/or the percentage of ownership, if applicable.
7. Attach supporting documents: Gather any supporting documents required by SEC Form 4-1. This may include copies of agreements, contracts, or any other relevant material that substantiates the reported transaction or ownership change.
8. Review and sign the form: Carefully review all the filled-out information on SEC Form 4-1 for accuracy and completeness. When satisfied, sign and date the form as the reporting person or their authorized representative.

Who needs SEC Form 4-1?

SEC Form 4-1 is required to be filled out by individuals or entities who are considered "reporting persons" under the Securities Exchange Act of 1934. Reporting persons usually include directors, officers, and beneficial owners of a company's securities. They are required to disclose their ownership and transactions involving the company's securities to ensure transparency and compliance with regulatory guidelines.

For pdfFiller’s FAQs

What is sec form 4 1?

SEC Form 4-1, also known as Statement of Changes in Beneficial Ownership of Securities, is a form required to be filed with the Securities and Exchange Commission (SEC). It discloses the purchases and sales of securities by officers, directors, and beneficial owners of more than 10% of a class of equity securities.

Who is required to file sec form 4 1?

Corporate officers, directors, and any beneficial owner of more than 10% of a class of equity securities are required to file SEC Form 4-1.

How to fill out sec form 4 1?

To fill out SEC Form 4-1, the filer needs to provide information such as their name, the company's name, the security being traded, the transaction date and price, the nature of the transaction, and any relation to the company or a related person. The form must be submitted electronically through the SEC's online filing system.

What is the purpose of sec form 4 1?

The purpose of SEC Form 4-1 is to provide transparency and ensure that the public is aware of any changes in beneficial ownership of securities by corporate officers, directors, and major shareholders. It helps prevent insider trading and promotes fair and open markets.

What information must be reported on sec form 4 1?

SEC Form 4-1 requires the reporting of information such as the filer's name and relationship to the company, the security being traded, the transaction date and price, the nature of the transaction (buy/sell), and any changes in beneficial ownership.

How can I send sec form 4 1 to be eSigned by others?

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