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

(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.

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.

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 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.

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.

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.