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A LEADING PROVIDER IN SECTION 16 FORM 3, 4, AND 5 FILINGS
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Section 16 Forms: FORM 3, FORM 4, FORM 5

Form ID - New Application For SEC Codes: FORM ID, NOTARY ACKNOWLEDGEMENT

Form D - Regulation D Offerings: FORM D

Definitions

The Form 3 must be filed with the SEC within 10 days of the insider becoming affiliated with the company. An insider (affiliate) may be an officer, director, or a shareholder owning 10% or more of the company's outstanding shares. Official SEC Form 3 Instructions

The Form 4 must be filed with the SEC before the end of the second business day following the day on which a transaction resulting in a change in beneficial ownership of an insider has occurred. An insider (affiliate) may be an officer, director, or a shareholder owning 10% or more of the company's outstanding shares. Official SEC Form 4 Instructions

The Form 5 must be filed by any insiders who have transactions during the year that would be exempt from a Form 4 filing (typically gift transactions). This form must be filed with the SEC no later than 45 days after the company's fiscal year end. An insider (affiliate) may be an officer, director, or a shareholder owning 10% or more of the company's outstanding shares. Official SEC Form 5 Instructions

The Form D serves as the official notice required to be filed by companies, both public and private, and funds that have sold securities without registration under the Securities Act of 1933 in an offering based on a claim of exemption under Rule 504, 505 or 506 of Regulation D or Section 4(6) of that statute. Beginning March 16, 2009, the SEC has required the Form D (REGDEX) and all amendments to be filed electronically. Click here to view more information about the change. The notice must be filed within 15 days after the first sale of securities in the offering based on the exemption. For this purpose, the date of first sale is the date on which the first investor is irrevocably contractually committed to invest. If the due date falls on a Saturday, Sunday or holiday, it is moved to the next business day. For specific questions regarding any of these rules please contact your attorney. Click here to view the official rule.

The Form ID is used to apply for SEC filing codes through the SEC's website. If you already have codes, you may want to have them re-generated as passwords expire every year. This may also be done through visiting the EDGAR Filer Management website. To file, complete the Form ID Template and notary acknowledgement listed above and have it notarized, or send us your company's full name, contact information, fiscal year date, TIN, and a notary acknowledgement. The signer of the Form ID must be an officer. Please be sure that the Notary acknowledgement is for the signer of the Form ID.

 

 

 

 

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