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Sec.gov/Archives/edgar/data/1538217/000155335018000431/xslF345X02/diclaudio3.xmlSEC Form 3 FORM 3UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL

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How to fill out sec form 3

01

To fill out SEC Form 3, follow these steps:

02

Download the SEC Form 3 from the official SEC website.

03

Provide your personal information, including your name, address, and contact details.

04

Indicate your role or relationship with the filing company (e.g., director, officer, or beneficial owner).

05

Disclose any previous names or aliases used.

06

Provide details of your employment history, including current and previous positions held.

07

Declare any criminal convictions or sanctions imposed by regulatory bodies.

08

Specify the securities involved, including the company's name, ticker symbol, and type of security.

09

Provide information on any beneficial ownership of securities held by you.

10

Disclose any transactions involving the securities in the past 60 days.

11

Sign and date the form.

12

Submit the completed SEC Form 3 to the appropriate SEC office or file it electronically as per the instructions provided.

Who needs sec form 3?

01

SEC Form 3 is required to be filled out by individuals who are considered insiders of a publicly traded company. These insiders include directors, officers, and beneficial owners of securities who are required by the Securities and Exchange Commission (SEC) to disclose their ownership and transactions in the company's securities. It helps ensure transparency and accountability in the public markets.

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What is sec form 3?

SEC Form 3 is a form that insiders of a company must file with the Securities and Exchange Commission (SEC) to report their initial statement of beneficial ownership of securities.

Who is required to file sec form 3?

Company insiders such as directors, officers, and certain shareholders who acquire beneficial ownership of a company's securities are required to file SEC Form 3.

How to fill out sec form 3?

To fill out SEC Form 3, insiders must provide information about their identity, the company's securities they own or have acquired, and any relationships with the company.

What is the purpose of sec form 3?

The purpose of SEC Form 3 is to disclose the initial statement of beneficial ownership of securities by insiders to promote transparency and prevent insider trading.

What information must be reported on sec form 3?

SEC Form 3 requires reporting of the insider's identity, relationship with the company, securities owned, and any transactions involving the company's securities.

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