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SEC FORM 4 1 of 1 http://www.sec.gov/Archives/edgar/data/825788/000149424512000012/... SEC Form 4 FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION OMB APPROVAL Washington, D.C. 20549 OMB Number:

How to fill out sec form 4

How to fill out SEC Form 4:

1. Obtain a copy of SEC Form 4: Start by getting a blank copy of SEC Form 4 from the official website of the United States Securities and Exchange Commission (SEC). Alternatively, you can also request a physical copy from the SEC.
2. Provide your identifying information: Fill in the required fields with your personal details, including your full legal name, address, and contact information. This information is necessary for the SEC to identify the individual filing the form.
3. Specify the reporting person's relationship to the company: Indicate whether you are an officer, director, or beneficial owner of securities in the company. This helps the SEC understand your position and level of responsibility within the organization.
4. Report the transaction details: Enter the date of the transaction, the nature of the transaction (e.g., purchase, sale, gift), and the amount and class of securities involved. Be precise and accurate in providing this information.
5. Include any footnotes or explanations: If there are any additional details or circumstances regarding the transaction that you believe should be highlighted, provide a concise explanation in the designated section or add footnotes to clarify any complexities.
6. Sign and date the form: Once you have completed all the required fields accurately, carefully review the information provided. Affix your signature and date the form to certify that the information is true, complete, and accurate to the best of your knowledge.
7. Submit the form to the SEC: After completing the form, ensure that you make a copy for your records before mailing or electronically submitting the SEC Form 4. Follow the instructions provided by the SEC for submission methods, which may include physical mail, email, or online submission through the Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system.

Who needs SEC Form 4?

1. Officers and directors of public companies: Individuals who hold positions as officers (e.g., CEO, CFO) and directors within public companies are generally required to file SEC Form 4 when they engage in transactions involving securities of their company. This helps ensure transparency and accountability to investors and stakeholders.
2. Beneficial owners of significant company securities: Individuals who own a substantial amount of securities (e.g., stocks, options, restricted stock units) in a public company are also required to file SEC Form 4 when conducting transactions that meet specific threshold requirements. This helps prevent insider trading and provides important information to investors.
3. Designated relationship individuals: Certain individuals who maintain a close relationship with the company, such as family members or trustees, may also be required to file SEC Form 4 if they engage in eligible transactions. The purpose is to ensure transparency and accountability even for those indirectly connected to the company.

It's important to consult with legal advisors or compliance professionals to ensure compliance with specific regulations and requirements surrounding SEC Form 4, as rules and thresholds may vary based on individual circumstances and the type of securities involved.

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What is sec form 4?

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

Who is required to file sec form 4?

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 can be filled out electronically on the SEC's EDGAR system, following the instructions provided by the SEC.

What is the purpose of sec form 4?

The purpose of SEC Form 4 is to provide transparency and disclosure of insider transactions in publicly traded companies.

What information must be reported on sec form 4?

SEC Form 4 requires reporting of the insider's name, relationship to the company, details of the transaction, and the number of shares involved.