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SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended July 31,

How to fill out section 13 or 15d

How to fill out section 13 or 15d:

1. Start by reading the instructions: Before you begin filling out section 13 or 15d, it's important to carefully read the instructions provided. This will ensure that you understand the purpose and requirements of these sections.
2. Gather the necessary information: To fill out section 13 or 15d accurately, you'll need certain information at hand. This may include details about the company, its securities, the reporting person, and any relevant transactions or holdings. Make sure you have all the required information before proceeding.
3. Complete the relevant fields: Section 13 or 15d consists of multiple fields that need to be filled out. Follow the instructions provided and enter the requested information into the appropriate fields. This may include the reporting person's name, address, relationship to the company, and any applicable exemptions or explanations.
4. Provide comprehensive and accurate details: It's crucial to provide comprehensive and accurate details when filling out section 13 or 15d. Double-check the information you enter to avoid any errors or omissions that could lead to complications or inaccuracies in your filing.
5. Review and submit the form: Once you have completed filling out section 13 or 15d, review the entire form to ensure accuracy. Pay close attention to any areas that require signature or certification. Once you are confident in the information provided, submit the form as directed, either electronically or through the appropriate mailing method.

Who needs section 13 or 15d:

1. Publicly traded companies: Section 13 or 15d of the Securities Exchange Act of 1934 requires publicly traded companies to file periodic reports with the Securities and Exchange Commission (SEC). These reports include information regarding ownership of securities by directors, officers, and certain beneficial owners.
2. Reporting persons: Individuals or entities with significant holdings or positions in publicly traded companies may need to fill out section 13 or 15d. These reporting persons could include directors, officers, or other stakeholders who meet the specified criteria for disclosure.
3. Compliance teams and legal professionals: Compliance teams and legal professionals within publicly traded companies are responsible for ensuring that section 13 or 15d is properly filled out and filed. They play a crucial role in understanding the requirements, accurately collecting the necessary information, and submitting the reports in a timely manner.

In summary, section 13 or 15d of the Securities Exchange Act of 1934 requires publicly traded companies and reporting persons to disclose certain information regarding securities ownership. By carefully following the instructions and collecting accurate information, you can successfully fill out these sections, meeting the reporting requirements set by the SEC.

For pdfFiller’s FAQs

What is section 13 or 15d?

Section 13 or 15d refers to the reporting requirements under the Securities Exchange Act of 1934.

Who is required to file section 13 or 15d?

Companies with securities registered under the Securities Exchange Act of 1934 are required to file section 13 or 15d.

How to fill out section 13 or 15d?

Section 13 or 15d can be filled out by submitting Form 10-K or 10-Q to the Securities and Exchange Commission.

What is the purpose of section 13 or 15d?

The purpose of section 13 or 15d is to provide transparency to investors by requiring companies to disclose relevant financial information.

What information must be reported on section 13 or 15d?

Companies must report their financial statements, management discussion and analysis, and other relevant information on section 13 or 15d.

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