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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:

1. Begin by gathering all the necessary information. You will need to provide your name, title, relationship to the company (e.g., officer, director, 10% owner), as well as the name of the company issuing the securities.
2. Indicate the type of transaction you are reporting. SEC Form 4 is used to report changes in beneficial ownership of securities, such as buying or selling company stock, exercising stock options, or receiving stock as compensation.
3. Fill in the details of the transaction. This includes the date of the transaction, the number of securities involved, the price at which they were acquired or disposed of, and any applicable codes or footnotes.
4. Disclose any changes in ownership interest. If you previously held securities of the company, indicate the number of securities you owned before and after the transaction. Also, specify whether the transaction resulted in a direct or indirect change in your ownership status.
5. If the transaction is a derivative transaction (e.g., stock options, restricted stock units), provide additional information and include transaction codes as required by the SEC.
6. Attach necessary supporting documents. Depending on the nature of the transaction, you may need to include documentation like stock option agreements or company filings.
7. Review the completed form for accuracy and completeness. Double-check all the information provided to ensure it is accurate, properly formatted, and fully addresses all required fields.
8. Sign and date the form. By signing, you certify that the information provided is true and accurate to the best of your knowledge.

Who needs SEC Form 4:

1. Individuals who are officers, directors, or 10% owners of publicly traded companies are required to file SEC Form 4.
2. It is also applicable to individuals who have been granted stock options or other stock-based compensation.
3. Additionally, anyone who acquires or disposes of securities of a publicly traded company, resulting in a change in their beneficial ownership, needs to file SEC Form 4.
4. It is important to consult the SEC regulations and seek professional advice if you are unsure whether you fall into any of these categories or have any reporting obligations.

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What is sec form 4?

SEC Form 4 is a document filed with the Securities and Exchange Commission by insiders of a publicly traded company to report their transactions involving company stock.

Who is required to file sec form 4?

Officers, directors, 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 should be filled out accurately and completely, including details of the insider's transactions, such as the date of the transaction, amount of securities traded, and nature of the transaction.

What is the purpose of sec form 4?

The purpose of SEC Form 4 is to provide transparency and accountability regarding insider trading activities in publicly traded companies.

What information must be reported on sec form 4?

SEC Form 4 requires the reporting of transactions involving the company's stock, including purchases, sales, and other types of acquisitions or dispositions.