Instructions for Form 4, SEC Form 1475 Statement of Changes of Beneficial Ownership of Securities

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

This document contains official instructions for Form 4 , and SEC Form 1475 . 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 Form 4?
A: Form 4 is a document used to report changes in beneficial ownership of securities.

Q: Who is required to file Form 4?
A: Corporate insiders, including officers, directors, and certain shareholders, are required to file Form 4.

Q: What information is included in Form 4?
A: Form 4 includes information about the type of security, the date of the transaction, the nature of the transaction, and the amount of securities involved.

Q: What is the purpose of filing Form 4?
A: The purpose of filing Form 4 is to provide transparency and disclosure of changes in beneficial ownership of securities.

Q: Are there any filing deadlines for Form 4?
A: Yes, Form 4 must generally be filed within two business days of the transaction.

Q: Are there any penalties for failing to file Form 4?
A: Yes, there can be penalties for failing to file Form 4, including monetary fines and potential legal consequences.

Q: Is Form 4 applicable only to U.S. companies?
A: No, Form 4 is applicable to both U.S. and foreign companies that have securities listed on U.S. stock exchanges.

Q: Can Form 4 be filed electronically?
A: Yes, Form 4 can be filed electronically through the SEC's Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system.

Q: Is Form 4 publicly available?
A: Yes, Form 4 filings are publicly available and can be accessed by anyone through the SEC's EDGAR system.