Form 4, Statement of changes in beneficial ownership of securities, is a form published by the U.S. Securities and Exchange Commission (SEC) as a PDF at sec.gov/files/form4.pdf. The SEC publishes its numbered forms, with their titles, on its forms index page. On this page you can fill out the form online on FillingPDF and download or print the completed PDF; the original PDF and the agency's own filing channels remain with the SEC.
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What is 4?
Form 4, Statement of changes in beneficial ownership of securities, is the U.S. Securities and Exchange Commission (SEC) form whose official title identifies it as a statement reporting changes in the beneficial ownership of securities. The SEC publishes it as a PDF at https://www.sec.gov/files/form4.pdf.
The SEC is the federal agency that issues the form. It publishes its forms on a forms index at https://www.sec.gov/submit-filings/forms-index, where each form appears with its number, its title, an SEC publication number and the program or category it belongs to.
Form 4 is a separate document from the other SEC forms on that index. For example, the index lists Form 144 as the Notice of proposed sale of securities pursuant to Rule 144, Form 13F as the form for information required of institutional investment managers pursuant to Section 13(f), and Form 13H as the form for information required of large traders pursuant to Section 13(h) of the Securities Exchange Act of 1934. Each of those is a different form with its own title and purpose.
How to fill out 4
Open the SEC's current Form 4
Start from the PDF the SEC publishes at https://www.sec.gov/files/form4.pdf so that you work on the agency's own edition of the form.
Read the printed instructions
Read any instructions printed on the form itself before you enter data, and follow them for each field.
Enter the identifying information
Complete the fields at the top of the form exactly as the form asks, using the same spelling and format you will use on any related SEC filing.
Complete the remaining sections
Fill in each remaining section of the form as the SEC's instructions direct. Leave nothing that the form asks for unanswered.
Check every entry
Compare names, dates and figures against your records, and correct any inconsistency before you finalize the form.
Review and download the completed PDF
Download or print the completed PDF from FillingPDF, then file it through the channels the SEC specifies.
How to submit 4
The SEC publishes Form 4 at https://www.sec.gov/files/form4.pdf and lists its forms at https://www.sec.gov/submit-filings/forms-index. Use the SEC's own pages to confirm the current edition of the form and the channel through which it is to be filed. FillingPDF lets you fill out and download the PDF; submission follows the SEC's channels.
Common mistakes to avoid
- Confusing Form 4 with Form 144, which the SEC lists as the Notice of proposed sale of securities pursuant to Rule 144; they are different forms.
- Using a form from a third-party site instead of the edition the SEC publishes at https://www.sec.gov/files/form4.pdf.
- Assuming that completing the PDF files it with the SEC; the completed form still has to reach the SEC through the agency's own channels.
- Mixing up Form 4 with Form 13F or Form 13H, which the SEC lists for institutional investment managers and large traders respectively.
Frequently asked questions
What is Form 4?
Form 4 is the U.S. Securities and Exchange Commission (SEC) form titled Statement of changes in beneficial ownership of securities. The SEC publishes it as a PDF at https://www.sec.gov/files/form4.pdf.
Where can I get the official Form 4 PDF?
The SEC publishes Form 4 at https://www.sec.gov/files/form4.pdf. Its other forms are listed on the SEC forms index at https://www.sec.gov/submit-filings/forms-index, where you can compare them by number and title.
Can I fill out Form 4 online?
Yes. You can fill out the Form 4 PDF online on FillingPDF and download or print it. FillingPDF is an independent service, not the SEC, and it does not file the form; you file it through the SEC's own channels.
Is Form 4 the same as Form 144?
No. The SEC's forms index lists Form 144 as the Notice of proposed sale of securities pursuant to Rule 144. Form 4 is titled Statement of changes in beneficial ownership of securities and is a separate document.
Which agency issues Form 4?
The U.S. Securities and Exchange Commission (SEC) issues and publishes Form 4. It posts the PDF at sec.gov/files/form4.pdf and lists its other forms, with their titles and numbers, on its forms index page.
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