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Name: Fillable Online Initial Statement of Beneficial Ownership of Securities Fax Email Print - pdfFiller
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This form is filed by individuals to report their beneficial ownership of securities in accordance with Section 16(a) of the Securities Exchange Act of 1934. It captures details about the individual\'s relationship to the issuer, the titles of securities owned, and any derivative securities.

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How to fill out sec form 3

01

Obtain SEC Form 3 from the SEC's website or your broker.

02

Fill in the required personal information including your name and address.

03

Provide your relationship to the reporting company (e.g., officer, director, beneficial owner).

04

List the securities that you are reporting, including the type and amount.

05

Include the date of the transaction.

06

Sign and date the form.

07

Submit the completed form to the SEC, ensuring it is filed within the required time frame.

Who needs sec form 3?

01

Corporate officers and directors of publicly traded companies.

02

Beneficial owners of more than 10% of a class of the company’s equity securities.

03

Individuals required to report changes in their ownership of company stock.

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What is sec form 3?

SEC Form 3 is a filing required by the U.S. Securities and Exchange Commission (SEC) for individuals who are deemed to be beneficial owners of a company's equity securities.

Who is required to file sec form 3?

Individuals who become beneficial owners of more than 10% of a class of a company's equity securities are required to file SEC Form 3.

How to fill out sec form 3?

To fill out SEC Form 3, individuals must provide their identification details, the name of the company, the date of becoming a beneficial owner, and the amount of securities owned.

What is the purpose of sec form 3?

The purpose of SEC Form 3 is to disclose initial ownership of equity securities by beneficial owners to promote transparency in the securities markets.

What information must be reported on sec form 3?

Information that must be reported on SEC Form 3 includes the name of the beneficial owner, the date of becoming a beneficial owner, and the amount and types of securities held.

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