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SEC Form 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSIONER 4Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIPCheck this box if no longer subject to Section 16. Form 4 or Form 5

How to fill out per 10b5-1 plan

How to fill out per 10b5-1 plan

1. Gather all relevant financial information, including current stock holdings and any upcoming financial obligations.
2. Determine your goals and objectives for participating in a 10b5-1 plan, such as diversifying your stock portfolio or selling a specific number of shares.
3. Consult with a financial advisor or broker who is familiar with 10b5-1 plans to ensure you understand the rules and regulations.
4. Draft a written plan that outlines the specific details of your stock trading activities, including the predetermined dates, prices, and quantities at which you will buy or sell shares.
5. Submit the plan to your company's legal or compliance department for review and approval.
6. Once the plan is approved, execute the predetermined trades as specified in the plan.
7. Regularly monitor and review your plan to ensure it remains in compliance with any applicable laws or regulations.
8. Adjust the plan as needed based on changes in your financial circumstances or market conditions.
9. Keep detailed records of all trades and communications related to the 10b5-1 plan for future reference.
10. Consider consulting with your financial advisor or attorney periodically to assess the effectiveness of your plan and make any necessary adjustments.

Who needs per 10b5-1 plan?

1. Executives or employees of publicly traded companies who possess material non-public information and wish to establish a prearranged stock trading plan for selling or purchasing company shares.
2. Investors who want to diversify their stock portfolios or have specific financial objectives that can be achieved through predetermined stock trades.

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What is per 10b5-1 plan?

A 10b5-1 plan is a written plan that allows company insiders to set up a predetermined schedule for buying or selling stocks in their own company, helping them avoid accusations of insider trading.

Who is required to file per 10b5-1 plan?

Company insiders, including executives, directors, and other employees who have access to non-public information, are required to file a 10b5-1 plan.

How to fill out per 10b5-1 plan?

To fill out a 10b5-1 plan, insiders must provide details on the timing and amount of securities to be bought or sold, including specific dates and price parameters, following guidelines set by the SEC.

What is the purpose of per 10b5-1 plan?

The purpose of a 10b5-1 plan is to provide a legal framework for company insiders to trade securities while avoiding potential accusations of insider trading during trades made under predetermined conditions.

What information must be reported on per 10b5-1 plan?

A 10b5-1 plan must report information including the identity of the insider, the number of shares to be traded, the price range for trades, and the schedule or triggers for those transactions.