Instructions for SEC Form 1474, 4 Statement of Changes in Beneficial Ownership

SEC Form 1474 (4) Statement of Changes in Beneficial Ownership

This document contains official instructions for SEC Form 1474 , and Form 4 . Both forms are released and collected by the U.S. Securities and Exchange Commission. An up-to-date fillable SEC Form 1474 (4) is available for download through this link.

FAQ

Q: What is SEC Form 1474?
A: SEC Form 1474 is a document used to report the changes in beneficial ownership of securities.

Q: Who is required to file SEC Form 1474?
A: Corporate insiders, such as directors and officers, are required to file SEC Form 1474.

Q: What information is included in SEC Form 1474?
A: SEC Form 1474 includes information about the type of security, the date of the change, and the nature of the change in ownership.

Q: When should SEC Form 1474 be filed?
A: SEC Form 1474 should be filed within two business days of the change in beneficial ownership.

Q: Are there any penalties for not filing SEC Form 1474?
A: Yes, there may be penalties for not filing SEC Form 1474, including fines and potential legal consequences.

Q: Can SEC Form 1474 be amended?
A: Yes, if there are errors or changes to the information in the form, an amended SEC Form 1474 can be filed.

Q: Is SEC Form 1474 required for all types of securities?
A: No, SEC Form 1474 is specifically for reporting changes in beneficial ownership of equity securities.

Q: Is SEC Form 1474 required for both US and Canadian companies?
A: No, SEC Form 1474 is required for US companies only. Canadian companies have their own reporting requirements.

Q: Can individuals who are not corporate insiders file SEC Form 1474?
A: No, SEC Form 1474 is specifically for corporate insiders and is not required for individual investors.