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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 used by reporting persons to disclose their beneficial ownership of securities under Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act

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How to fill out sec form 3

01

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

02

Fill in the company's name and the reporting person's details.

03

Specify the relationship of the reporting person to the issuer (e.g., executive officer, director).

04

Report the ownership of securities including the number of shares owned.

05

Include details of any securities transactions that occurred, such as purchases or sales.

06

Sign and date the form, confirming that the information is true and correct.

07

Submit the completed form to the SEC within the required time frame.

Who needs sec form 3?

01

Corporate executives and directors who buy or sell shares in their own company.

02

Individuals who own more than 10% of a registered class of the company's securities.

03

Any insiders who have a reporting obligation under Section 16 of the Securities Exchange Act.

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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 considered insiders of a company to disclose their ownership in the company's securities.

Who is required to file sec form 3?

Insiders such as executive officers, directors, and beneficial owners of more than 10% 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 information including their name, title, the name of the company, and details about their securities ownership, including the number of shares or other securities held.

What is the purpose of sec form 3?

The purpose of SEC Form 3 is to promote transparency by requiring insiders to disclose their ownership stakes in a company, which helps to inform investors of potential conflicts of interest and insider trading risks.

What information must be reported on sec form 3?

SEC Form 3 must report the insider's name, relationship to the company, securities owned, and any changes in ownership, such as purchases, sales, or other transactions involving the securities.

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