
20549 OMB APPROVAL ANNUAL STATEMENT of CHANGES in BENEFICIAL OWNERSHIP of SECURITIES OMB Number 3235 0362 Expires Febrary 28, Es Form
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People also ask
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What is a statement of changes in beneficial ownership of securities?
Form 4 is a statement to disclose changes in an insider's ownership of securities. The information is used for the purpose of disclosing the equity holdings of insiders of reporting companies.
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What does initial statement of beneficial ownership of securities mean?
SEC Form 3: Initial Statement of Beneficial Ownership of Securities is a document filed by a company insider or major shareholder with the Securities and Exchange Commission (SEC).
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What does change of beneficial ownership mean?
That means that you are now holding the shares as trustee for someone else, but would be changing ownership from that trust to you personally - that other person or trust therefore ceases the beneficial owner. The result would be a CGT disposal from the other person/trust to you at current fair value.
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What does statement of changes in beneficial ownership of Securities mean?
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.
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What is beneficial ownership of securities?
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.
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