Get the free SEC FORM 4 - rdgir.com

SEC Form 4 FORM 4 OMB APPROVAL UNITED STATES SECURITIES AND EXCHANGE COMMISSION December 31, 2014, Expires: Washington, D.C. 20549 Estimated average burden Check this box if no longer subject to Section

How to fill out sec form 4

How to fill out SEC Form 4:

1. Obtain the form: Start by obtaining a copy of SEC Form 4. This form can be downloaded from the official website of the U.S. Securities and Exchange Commission (SEC) or requested directly from the SEC.
2. Fill in personal information: Begin by providing your personal information, such as your full legal name, contact details, and Social Security number. Ensure that all the information is accurate and up-to-date.
3. Disclose the transaction details: In this section, you will need to disclose the details of the transaction that triggered the filing of SEC Form 4. This includes the date of the transaction, the nature of the transaction (buy, sell, gift, etc.), and the number of securities involved.
4. Indicate ownership before and after the transaction: Specify the total number of securities beneficially owned before and after the transaction. This includes all securities held directly, indirectly, or through any other means.
5. Report the transaction codes: SEC Form 4 contains specific codes that describe the nature of the transaction. Familiarize yourself with these codes and select the appropriate one that accurately represents the transaction being reported.
6. Detail the reporting person's relationship to the company: If you are an officer, director, or 10% shareholder of the company whose securities are being traded, you must disclose your relationship to the company in this section.
7. Sign and date the form: Once you have completed the form, review it thoroughly to ensure accuracy and completeness. Sign and date the form in the designated areas to certify its authenticity and truthfulness.

Who needs SEC Form 4:

1. Company insiders: SEC Form 4 is primarily required to be filed by company insiders, including officers, directors, and 10% shareholders. These individuals have access to material nonpublic information about the company and are required to disclose their transactions in the company's securities.
2. Reporting companies: In addition to individuals, reporting companies listed on major stock exchanges are also required to file SEC Form 4. This ensures transparency and helps investors track the buying and selling activities of company insiders.
3. Beneficial owners of securities: Any individual or entity who directly or indirectly holds more than 10% of a company's voting securities is considered a beneficial owner. These owners must file SEC Form 4 to report their transactions and ownership changes.

Overall, SEC Form 4 serves as a vital tool for promoting transparency and providing investors with information regarding the buying and selling activities of company insiders. It helps prevent insider trading and ensures that all stakeholders have access to necessary information for making informed investment decisions.

For pdfFiller’s FAQs

How can I send sec form 4 for eSignature?

Once you are ready to share your sec form 4, you can easily send it to others and get the eSigned document back just as quickly. Share your PDF by email, fax, text message, or USPS mail, or notarize it online. You can do all of this without ever leaving your account.

How do I complete sec form 4 online?

pdfFiller has made it easy to fill out and sign sec form 4. You can use the solution to change and move PDF content, add fields that can be filled in, and sign the document electronically. Start a free trial of pdfFiller, the best tool for editing and filling in documents.

How can I fill out sec form 4 on an iOS device?

Download and install the pdfFiller iOS app. Then, launch the app and log in or create an account to have access to all of the editing tools of the solution. Upload your sec form 4 from your device or cloud storage to open it, or input the document URL. After filling out all of the essential areas in the document and eSigning it (if necessary), you may save it or share it with others.