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SEC Form 4 FORM 4 OMB APPROVAL UNITED STATES SECURITIES AND EXCHANGE COMMISSION Expires: Washington, D.C. 20549 hours per response: STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 0.5 Filed pursuant

How to fill out sec form 4

How to fill out SEC Form 4:

1. Obtain the form: Start by downloading SEC Form 4 from the official Securities and Exchange Commission (SEC) website or requesting a physical copy from the SEC office.
2. Provide personal details: Fill in your name, address, social security number, and other required personal information as indicated on the form.
3. Identify the transaction details: Indicate the date of the transaction and provide a description of the securities involved, including the type, class, and number of shares.
4. Report beneficial ownership: If the transaction involves the acquisition or disposition of securities that result in a change in beneficial ownership, detail the nature of the ownership change.
5. Declare any entities involved: Disclose any entities, such as trusts or corporations, that are parties to the transaction or have a beneficial interest in the reported securities.
6. Fill in transaction codes: Use the provided codes to identify the type of transaction being reported, such as acquisition, disposition, or conversion.
7. Disclose transaction price: Provide the transaction price per share or, if not applicable, indicate the fair market value at the date of the transaction.
8. Sign and date the form: Review the completed SEC Form 4 for accuracy, sign the form, and include the date of signing.
9. File the form: Send the completed form to the SEC by mailing it to the designated address or submitting it electronically through the SEC's filing system.

Who needs SEC Form 4:

1. Corporate insiders: Individuals who hold positions such as directors, officers, or beneficial owners of 10% or more of a publicly-traded company's stock are required to file SEC Form 4 to disclose their transactions involving the company's securities.
2. Section 16 insiders: Section 16 of the Securities Exchange Act of 1934 identifies insiders, including officers, directors, and beneficial owners, who are subject to reporting requirements. These insiders must file SEC Form 4 to report their transactions within two business days of the transaction date.
3. Investors and traders: While not mandatory, investors and traders who engage in significant transactions involving publicly-traded securities may choose to file SEC Form 4 to provide transparency and comply with reporting obligations.

Note: It is important to consult with legal counsel or a qualified professional to ensure compliance with specific regulations and requirements when filling out SEC Form 4.

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What is sec form 4?

SEC Form 4 is a United States Securities and Exchange Commission form that must be filed by directors, officers, and shareholders who have acquired or disposed of securities of a publicly traded company.

Who is required to file sec form 4?

Directors, officers, and shareholders who have acquired or disposed of securities of a publicly traded company are required to file SEC Form 4.

How to fill out sec form 4?

SEC Form 4 can be filled out online through the SEC's EDGAR system. The form requires information such as the filer's name, title, the type of transaction, and the date of the transaction.

What is the purpose of sec form 4?

The purpose of SEC Form 4 is to provide transparency and accountability in the trading activities of company insiders, such as directors, officers, and significant shareholders.

What information must be reported on sec form 4?

SEC Form 4 requires the reporting of information regarding the filer's identity, the issuer, the type of security, the date of the transaction, the nature of the transaction, and the number of securities involved.