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Disclosures
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Changes in Beneficial Ownership
Derivative Securities Transactions
Exemptions from Reporting
Material Transactions
Reporting Non-Derivative Securities Transactions
Filers
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10% Shareholders
Beneficial Owners
Directors
Officers
Section 16 Officers
Filing Process
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Amending and Correcting Form 4 filings
Electronic Filing Options
Filing Deadlines and Timing Considerations
Filing Requirements for SEC Form 4
Paper Filing Procedures
Insider Trading
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Consequences of Violations
Definition of Insider Trading
Legal Requirements
Prohibited Activities
Reporting Obligations
Penalties
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Civil Money Penalties
Consequences of Non-Compliance
Criminal Penalties
Enforcement Actions
Late Filing Penalties
Purpose
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Required Disclosure of Changes in Ownership of Company Stock by Insiders
To Comply with Federal Securities Laws and Regulations
To Ensure Transparency and Accountability in the Stock Market
To Facilitate the Monitoring and Regulation of Insider Trading
To Inform Investors and the Public About Insider Trading Activities
Reporting Deadlines
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Consequences of Missing Reporting Deadlines
Extensions for Reporting Deadlines
Filing Ddeadlines for SEC Form 4
Grace Period for Late Filings
Impact on Insider Trading Regulations
SEC Form 4
Transactions
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Acquisition of Securities
Derivative Transactions
Disposition of Securities
Non-Open Market Transactions
Open Market Transactions
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