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

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

Ed average burden hours per response. . . . . 0.5 FORM 4 Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). (Print or Type Responses) Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 1. Name and Address of Reporting Person* 2. Issuer Name and Ticker or Trading Symbol AUBRECHT RICHARD A.

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Form 4 must be filed with the Securities and Exchange Commission whenever there is a material change in the holdings of company insiders. If a party fails to disclose required information on a Form 4, civil or criminal actions could result.

Form 3 must also be filed within ten days after a person's holdings exceed 10% of any class of the company's registered equity securities. Form 4 is used for the required reporting of changes in company stock ownership.

Form 4 must be filed with the Securities and Exchange Commission whenever there is a material change in the holdings of company insiders. If a party fails to disclose required information on a Form 4, civil or criminal actions could result.

The SEC requires an S-4 filing from any publicly traded company undergoing a merger or an acquisition. This form must also be filed in bankruptcy situations when there is an exchange offer on the table, and during hostile takeovers. The form must be filed regardless of the underlying purpose of the merger.

The SEC lists the following who are required to file Form 3: Any director or officer of an issuer with a class of equity securities. A beneficial owner of greater than 10% of a class of equity securities. An officer, director, member of an advisory board, investment adviser, or affiliated person of an investment.

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.

The federal securities laws require certain individuals (such as officers, directors, and those that hold more than 10% of any class of a company's securities, together we'll call, “insiders”) to report purchases, sales, and holdings of their company's securities by filing Forms 3, 4, and 5.

(a) This Form must be filed on or before the 45th day after the end of the issuer's fiscal year in ance with Rule 16a-3(f). This Form and any amendment is deemed filed with the Commission or the Exchange on the date it is received by the Commission or Exchange, respectively.

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© Copyright 1997-2025
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Form Packages
Adoption
Bankruptcy
Contractors
Divorce
Home Sales
Employment
Identity Theft
Incorporation
Landlord Tenant
Living Trust
Name Change
Personal Planning
Small Business
Wills & Estates
Packages A-Z
Form Categories
Affidavits
Bankruptcy
Bill of Sale
Corporate - LLC
Divorce
Employment
Identity Theft
Internet Technology
Landlord Tenant
Living Wills
Name Change
Power of Attorney
Real Estate
Small Estates
Wills
All Forms
Forms A-Z
Form Library
Customer Service
Terms of Service
DMCA Policy
About Us
Blog
Affiliates
Contact Us
Privacy Notice
Delete My Account
Site Map
All Forms
Search all Forms
Industries
Forms in Spanish
Localized Forms
Legal Guides
Real Estate Handbook
All Guides
Prepared for You
Notarize
Incorporation services
Our Customers
For Consumers
For Small Business
For Attorneys
Our Sites
US Legal Forms
USLegal
FormsPass
pdfFiller
signNow
airSlate workflows
DocHub
Instapage
Social Media
Call us now toll free:
1-877-389-0141
As seen in:
  • USA Today logo picture
  • CBC News logo picture
  • LA Times logo picture
  • The Washington Post logo picture
  • AP logo picture
  • Forbes logo picture
© Copyright 1997-2025
airSlate Legal Forms, Inc.
3720 Flowood Dr, Flowood, Mississippi 39232