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How to use or fill out 20549 OMB APPROVAL INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES OMB Number: 3235-0104 Exp with our platform
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Click ‘Get Form’ to open it in the editor.
Begin by entering the 'Name and Address of Reporting Person' in the designated fields. Ensure accuracy as this information is crucial for identification.
Next, input the 'Date of Event Requiring Statement' using the format Month/Day/Year. This date is essential for compliance with reporting requirements.
Fill in the 'Issuer Name and Ticker or Trading Symbol'. This identifies the company associated with your ownership.
Indicate your relationship to the issuer by checking all applicable boxes under 'Relationship of Reporting Person(s) to Issuer'.
Complete Table I by detailing each class of securities beneficially owned, including title, amount, and ownership form (Direct or Indirect).
If applicable, proceed to Table II for any derivative securities you own, providing necessary details such as title and expiration dates.
Finally, review all entries for accuracy before signing at the bottom. Ensure that you comply with filing requirements by submitting three copies of this form.
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Whats a Form 3? When a person becomes an insider (for example, when they are hired as an officer or director), they must file a Form 3 to initially disclose his or her ownership of the companys securities. Form 3 must be filed within 10 days after the person becomes an insider.
What does statement of changes in beneficial ownership of securities mean?
What Is SEC Form 4: Statement of Changes in Beneficial Ownership? Whenever company insiders, like directors and officers or shareholders with over 10% ownership, alter their stock holdings, they must file SEC Form 4 with the SEC.
What is the SEC rule for beneficial ownership?
Securities Act Rule 13d-3 defines beneficial owner as any person who, directly or indirectly, through any contract, arrangement, understanding, relationship, or otherwise has or shares: (1) Voting power which includes the power to vote, or to direct the voting of, such security; and/or, (2) Investment power which
What does initial statement of beneficial ownership of securities mean?
SEC Form 3: Initial Statement of Beneficial Ownership of Securities is a document filed by a company insider or major shareholder with the Securities and Exchange Commission (SEC).
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SEC Form 4 transaction codesStatement of Changes of beneficial ownershipSEC beneficial ownerForm 3sBeneficial ownership LimitationSEC Approval ListDirect and indirect beneficial ownership SECSection 16 beneficial ownership
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