SEC Form 4 - Statement of Changes in Beneficial Ownership
This file is a SEC Form 4, which is used to report changes in beneficial ownership of securities. It includes details about the reporting person, issuer, and transaction information. It is filed pursuant to Section 16(a) of the Securities Exchange Act of 1934.
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How do I fill this out?
To fill out this form, you will need to provide information about the reporting person, the issuer, and the specific securities transactions. Ensure all details are accurate and complete. Refer to the instructions provided on the form for guidance.
How to fill out the SEC Form 4 - Statement of Changes in Beneficial Ownership?
1
Enter the reporting person's name and address.
2
Provide the issuer's name and ticker symbol.
3
Indicate the date of the earliest transaction.
4
Complete the table with details of each transaction.
5
Sign and date the form before submission.
Who needs the SEC Form 4 - Statement of Changes in Beneficial Ownership?
1
Corporate officers who need to report changes in their stock ownership.
2
Directors who are required to disclose transactions involving company securities.
3
Beneficial owners of more than ten percent of a class of equity securities.
4
Legal advisors assisting clients with compliance to Section 16(a) of the Securities Exchange Act.
5
Compliance officers responsible for ensuring accurate and timely filings.
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What are the instructions for submitting this form?
Submit SEC Form 4 via the SEC's EDGAR system online. Alternatively, you can mail the form to U.S. Securities and Exchange Commission, 100 F Street, NE, Washington, DC 20549, or fax it to (202) 772-9324. Ensure all information is accurate and complete before submission. Review the form thoroughly to avoid errors and timely file within two business days of the transaction.
What are the important dates for this form in 2024 and 2025?
Key dates for filing SEC Form 4 in 2024 and 2025 include the deadlines for reporting changes in beneficial ownership, generally within two business days of a transaction.
What is the purpose of this form?
The purpose of SEC Form 4 is to disclose changes in the beneficial ownership of securities for corporate officers, directors, and significant shareholders. It is filed pursuant to Section 16(a) of the Securities Exchange Act of 1934. This form ensures transparency and compliance with regulatory requirements, providing essential information to investors and the public.
Tell me about this form and its components and fields line-by-line.
- 1. Name and Address of Reporting Person: This field requires the full name and address of the person reporting the transaction.
- 2. Issuer Name and Ticker Symbol: Enter the name of the issuer and the ticker symbol for the securities involved in the transaction.
- 3. Date of Earliest Transaction: Indicate the date of the earliest transaction being reported.
- 4. Relationship of Reporting Person to Issuer: Specify the reporting person's relationship to the issuer, such as director, officer, or ten percent owner.
- 5. Table I - Non-Derivative Securities: List details of non-derivative securities acquired, disposed of, or beneficially owned.
- 6. Table II - Derivative Securities: Provide information on derivative securities acquired, disposed of, or beneficially owned.
- 7. Explanation of Responses: Include any additional information or explanations for the reported transactions.
- 8. Signature of Reporting Person: The reporting person must sign the form to certify its accuracy.
What happens if I fail to submit this form?
Failing to submit SEC Form 4 can result in serious consequences, including legal and financial penalties.
- Legal Penalties: Failing to file may result in federal criminal charges under 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
- Financial Penalties: Non-compliance can lead to significant fines imposed by the SEC.
- Reputational Damage: Failure to comply with reporting requirements can harm the individual's and the company's reputation.
How do I know when to use this form?
- 1. Stock Transactions: Report the acquisition or disposition of company stocks.
- 2. Derivative Transactions: Include transactions involving derivative securities such as options and warrants.
- 3. Gifts and Transfers: Document any non-market transactions, such as gifts, involving company securities.
Frequently Asked Question
What is SEC Form 4?
SEC Form 4 is a statement of changes in beneficial ownership of securities, filed pursuant to Section 16(a) of the Securities Exchange Act of 1934.
How do I fill out SEC Form 4 on PrintFriendly?
Open the PDF in our editor, enter the required information in the designated fields, and save the changes. Our interface ensures a smooth process.
Who needs to file SEC Form 4?
Corporate officers, directors, and beneficial owners of more than ten percent of a class of equity securities need to file SEC Form 4.
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Is SEC Form 4 submission mandatory?
Yes, SEC Form 4 is mandatory for reporting changes in beneficial ownership of securities under Section 16(a) of the Securities Exchange Act.
What information is required on SEC Form 4?
You need to provide information about the reporting person, the issuer, and the specific securities transactions.
How often do I need to file SEC Form 4?
SEC Form 4 must be filed within two business days following the execution of a transaction.
Can I use PrintFriendly to download SEC Form 4?
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