Get 20549 Omb Approval Statement Of Changes In Beneficial Ownership Of Securities Omb Number: 3235-0287

The definition of beneficial owner includes more than just shareholders – it includes anyone who has a sufficient percentage of the voting rights or ownership interest or controls the company by other means. If in doubt, a company should seek legal advice to assist it in establishing who its beneficial owners are.

A statement is required to be filed by every person who, at any time during any calendar month, was (i) directly or indirectly the beneficial owner of more the 10 percent of any class of equity securities of a bank or trust company, or (ii) a director or officer of the bank or trust company which is the issuer of such ...

SEC Form 4: Statement of Changes in Beneficial Ownership is a document that must be filed with the Securities and Exchange Commission (SEC) whenever there is a material change in the holdings of company insiders.

What's a Form 4? In most cases, when an insider executes a transaction, he or she must file a Form 4.

A beneficial owner holds shares indirectly, through a bank or broker-dealer. Beneficial owners holding their shares at a broker-dealer or bank are sometimes said to be holding shares in “street name.” The majority of U.S investors own their securities this way.

Change of Beneficial Ownership means, with respect to any Representative-ship that is operated as a Business Entity, the sale, transfer or acquisition of any ownership interest in the Business Entity by any person or entity or group of persons or entities who are not listed on the original Business Entity Registration ...

As a general rule, Form 4 filings that show substantial insider buying activity are a bullish signal. If insiders are buying, they are confident about the future and expect the company's share price to rise. Form 4 filings showing insiders have been selling stock are more challenging to interpret.