In the realm of securities and investments, transparency and regulation are paramount for maintaining market integrity and protecting investors. The SEC's Form 3 plays a crucial role in this ecosystem, marking the initial statement of beneficial ownership of securities by key insiders. These insiders include directors, officers, or owners holding ten percent or more of a class of the company's equity securities registered under Section 12 of the Securities Exchange Act of 1934. Mandating electronic submission via https://www.onlineforms.edgarfiling.sec.gov, the form underscores the shift towards more efficient, accessible modes of compliance and disclosure. The content of Form 3 spans essential details such as the name and address of the reporting person, the date of the event triggering the filing, and specifics about both non-derivative and derivative securities beneficially owned. Each entry demands precision—reflecting the ownership nature, be it direct or indirect, and ensuring accountability via mandatory electronic filing. Misstatements or omissions are not taken lightly, pointing to federal criminal violations, thus underscoring the gravity of accurate disclosure. With an OMB approval valid through March 31, 2015, and an estimated completion time of just half an hour, the form is designed to streamline the disclosure process while maintaining rigorous standards of investor protection and market transparency.
| Question | Answer |
|---|---|
| Form Name | Form 3 |
| Form Length | 2 pages |
| Fillable? | No |
| Fillable fields | 0 |
| Avg. time to fill out | 30 sec |
| Other names | what is form 3 of united states securities commission, you form 3 pdf, form sec 3 download, form 3 filing |
You may not send a completed printout of this form to the SEC to satisfy a filing obligation. submitting the information required by this form to the SEC in electronic format online at
You can only satisfy an SEC filing obligation by https://www.onlineforms.edgarfiling.sec.gov.
FORM 3
(Print or Type Responses)
UNITEDSTATESSECURITIESANDEXCHANGECOMMISSION
Washington, D.C. 20549
Form 3
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
OMB APPROVAL
OMB Number: |
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March 31, 2015 |
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1. Name and Address of Reporting Person* |
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2. Date of Event |
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3. Issuer Name and Ticker or Trading Symbol |
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Requiring Statement |
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(Month/Day/Year) |
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(Last) |
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(Middle) |
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4. Relationship of Reporting Person(s) to Issuer |
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If Amendment, Date |
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Original Filed (Month/Day/ |
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(Check |
all applicable) |
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Year) |
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Director |
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10% Owner |
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Officer (give |
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Other (specify |
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(Street) |
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Individual or Joint/Group |
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title below) |
below) |
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Filing (Check Applicable Line) |
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__Form filed by One Reporting Person |
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__Form filed by More than One ReportingPerson |
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(City) |
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(Zip) |
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Table I — NonDerivative Securities Beneficially Owned |
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1. Title of Security |
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Amount of Securities |
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Ownership |
4. Nature of Indirect Beneficial Ownership |
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(Instr. 4) |
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Beneficially Owned |
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Form: Direct |
(Instr. 5) |
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(Instr. 4) |
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(D) or Indirect |
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(I) (Instr. 5) |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. * If the form is filed by more than one reporting person, SEE Instruction 5(b)(v).
Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
(Over) SEC 1473
FORM 3 (continued) |
Table II — Derivative Securities Beneficially Owned ( E.G., puts, calls, warrants, options, convertible securities) |
1.Title of Derivative Security (Instr. 4)
2. Date Exer- |
3. Title and Amount of Securities Underlying |
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cisable and |
Derivative Security |
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Expiration |
(Instr. 4) |
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Date |
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(Month/Day/Year) |
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Date |
Expira- |
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Amount |
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or |
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tion |
Title |
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Number |
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cisable |
Date |
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of |
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Shares |
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4.Conver- sion or Exercise Price of Deri- vative Security
5.Owner- ship Form of Deriv- ative Security: Direct
(D)or
Indirect
(Instr. 5)
6.Nature of Indirect Beneficial Ownership (Instr. 5)
Explanation of Responses:
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. |
**Signature of Reporting Person |
Date |
SEE 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
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Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, |
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SEE Instruction 6 for procedure. |
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Potential persons who are to respond to the collection of information contained in this form are not |
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required to respond unless the form displays a currently valid OMB Number. |
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