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SEC Form 4 FORM 4 OMB APPROVAL UNITED STATES SECURITIES AND EXCHANGE COMMISSION Estimated average burden Washington, D.C. 20549 Check this box if no longer subject to Section 16. Form 4 or Form 5

How to fill out sec form 4

How to fill out SEC Form 4 (Statement of Changes in Beneficial Ownership of Securities)?

1. Gather the necessary information: Before filling out SEC Form 4, you will need to collect all the relevant information required for the form. This includes details such as the company's name and ticker symbol, your own personal information, including your name and address, as well as the specific details of the securities involved.
2. Identify the changes in beneficial ownership: SEC Form 4 is used to report any changes in beneficial ownership of securities, such as the acquisition or disposition of shares by corporate insiders or certain shareholders. Determine the nature of the transaction that triggered the need to complete this form.
3. Complete the header section: Start by entering the date of the transaction and the applicable filer information in the header section of the form. This will include your name, address, and reporting status (e.g., whether you are a director, officer, or 10% shareholder).
4. Provide information about the issuer: In the next section, provide the name of the issuer of the securities, its ticker symbol, and the state or jurisdiction of incorporation. This information helps identify the company whose securities are being reported.
5. Detail the transaction: In the transaction section, provide a complete description of the transaction, including the date of the transaction, the title and class of the securities involved, and the number of securities acquired or disposed of. You should also indicate whether the transaction was an open-market purchase or sale, a gift, or a transfer.
6. Report the nature of ownership: Indicate whether you are reporting as a direct owner, indirect owner, or both. Specify the basis for the ownership, such as sole ownership, joint ownership, or partnership.
7. Calculate the ownership before and after the transaction: In this section, calculate and report the total number of securities you owned before and after the transaction. Make sure to account for any changes in ownership resulting from previous filings.
8. Attach necessary exhibits: If there are any attachments or exhibits required to provide additional information or support your filing, make sure to include them along with your completed Form 4. These may include contracts, agreements, or any other relevant documents.
9. Sign and file the form: Review the completed form for accuracy and sign it as the filer. Ensure that you have met all the reporting obligations and deadlines and file the form with the SEC as per their guidelines.

Who needs SEC Form 4?

1. Individuals serving as directors or officers of publicly traded companies are required to file SEC Form 4 to report any changes in their ownership of company securities. This includes any acquisitions or dispositions of securities, as well as transactions involving derivative securities.
2. Certain shareholders who hold 10% or more of a company's securities are also required to file SEC Form 4 when there are changes in their beneficial ownership of those securities.
3. SEC Form 4 helps provide transparency about the activities of corporate insiders and major shareholders, allowing investors to make more informed decisions while ensuring compliance with securities regulations.

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What is sec form 4?

SEC Form 4 is a form filed with the Securities and Exchange Commission (SEC) by company insiders to report their transactions in company securities.

Who is required to file sec form 4?

Company insiders such as directors, officers, and beneficial owners of more than 10% of a company's stock are required to file SEC Form 4.

How to fill out sec form 4?

SEC Form 4 must be filled out electronically through the SEC's EDGAR system. The form requires information on the insider's identity, the details of the transaction, and the nature of the ownership interest.

What is the purpose of sec form 4?

The purpose of SEC Form 4 is to provide transparency and accountability by requiring insiders to disclose their transactions in company securities.

What information must be reported on sec form 4?

SEC Form 4 requires reporting of the insider's identity, the details of the transaction (such as date, price, and number of shares), and the nature of the ownership interest (such as direct ownership or indirect ownership through a spouse or family member).