Step 1 of 7: Reporting Context
SEC Filings & Disclosure
Insider & beneficial ownership reportingMandatory statement of changes in beneficial ownership of securities under Section 16(a) of the Securities Exchange Act of 1934.
Basis: Beneficial ownership and insider reporting
/sec/startSecurities Exchange Act of 1934; Regulations S-K, S-X, S-T; 17 CFR Parts 229, 232, 240, 249
7 steps, completed in order. Each step is validated against the schema before the next unlocks.
Step 1 of 7
ScreenSEC › SEC Workflows › Form 4 — Statement of Changes in Beneficial Ownershipstep 1
Complete the Reporting Context fields. Each value is validated against the schema before the next step unlocks.
Domain Entity ID (required)
entityIdThe organisation or system this record is about — lowercase with dashes, e.g. acme-corp-hq. Pick one you have used before, or type a new id to create it.
Step 2 of 7
ScreenSEC › SEC Workflows › Form 4 — Statement of Changes in Beneficial Ownershipstep 2
Complete the Issuer Information fields. Each value is validated against the schema before the next step unlocks.
Issuer CIK (10-digit) (required)
issuerCikTen-digit Central Index Key of the issuing company.e.g. 0000000000
Issuer Name (required)
issuerNameFull legal name of the issuer.e.g. Acme Corporation
Ticker / Trading Symbol (required)
issuerTickerTrading symbol under which issuer equity is registered.e.g. ACME
Step 3 of 7
ScreenSEC › SEC Workflows › Form 4 — Statement of Changes in Beneficial Ownershipstep 3
Complete the Reporting Insider Information fields. Each value is validated against the schema before the next step unlocks.
Reporting Person CIK (10-digit) (required)
reportingPersonCikTen-digit Central Index Key of the Section 16 insider.e.g. 0000000000
Reporting Person Full Legal Name (required)
reportingPersonNameFull name of the reporting insider.e.g. Jane Doe
Relationship to Issuer (required)
relationshipStatutory capacity of the reporting insider.
Officer Title (if applicable)optional
officerTitleTitle of executive officer per Rule 16a-1(f).e.g. Chief Financial Officer
Step 4 of 7
ScreenSEC › SEC Workflows › Form 4 — Statement of Changes in Beneficial Ownershipstep 4
Complete the Rule 10b5-1 Trading Arrangement Disclosure fields. Each value is validated against the schema before the next step unlocks.
Rule 10b5-1(c) Checkbox (required)
isRule10b51TransactionCheck to indicate transaction was made pursuant to a contract, instruction or written plan under Rule 10b5-1(c).
Date of Rule 10b5-1 Plan Adoptionoptional
rule10b51AdoptionDateDate the trading plan was adopted or modified (mandatory if Rule 10b5-1 box is checked).
Rule 10b5-1 Cooling-Off Waiver Approvedoptional
coolingOffWaiverApprovedGeneral Counsel sign-off if transaction occurs within statutory cooling-off window.
Step 5 of 7
ScreenSEC › SEC Workflows › Form 4 — Statement of Changes in Beneficial Ownershipstep 5
Complete the Transactions in Securities fields. Each value is validated against the schema before the next step unlocks.
Date of Earliest Transaction (Period of Report) (required)
periodOfReportDate of earliest transaction reported (triggers 2-business-day deadline).
Table I: Non-Derivative Securities Acquired, Disposed of, or Beneficially Ownedoptional
nonDerivativeTransactionsEnter table i: non-derivative securities acquired, disposed of, or beneficially owned.
Table II: Derivative Securities Acquired, Disposed of, or Beneficially Ownedoptional
derivativeTransactionsEnter table ii: derivative securities acquired, disposed of, or beneficially owned.
Step 6 of 7
ScreenSEC › SEC Workflows › Form 4 — Statement of Changes in Beneficial Ownershipstep 6
Complete the Signatures & Execution fields. Each value is validated against the schema before the next step unlocks.
Signature of Reporting Person or Attorney-in-Fact (required)
signatoryNameName and authority of person executing Form 4.e.g. Jane Doe /s/ by Attorney-in-Fact
Date of Signature (required)
signatureDateDate the statement is signed.
Signed by Attorney-in-Fact (POA)optional
isSignedByAttorneyInFactCheck if statement is executed by corporate agent pursuant to Power of Attorney.
Exhibit 24 Power of Attorney Attachment IDoptional
exhibit24AttachmentIdUUID of uploaded Power of Attorney document.
Previously Filed Exhibit 24 Accession Numberoptional
exhibit24AccessionNumberSEC EDGAR accession number of active unexpired Power of Attorney (format: 0000000000-00-000000).
Step 7 of 7
ScreenSEC › SEC Workflows › Form 4 — Statement of Changes in Beneficial Ownershipstep 7
Complete the Approvals & Verification fields. Each value is validated against the schema before the next step unlocks.
Securities Counsel Approved (required)
counselApprovedLegal counsel has verified transaction code, timeliness, and Rule 10b5-1 plan compliance.
Reporting Person Confirmed (required)
insiderApprovedInsider has confirmed trade execution price, volume, and post-transaction balance.
Is Overdue (>2 Business Days)optional
isOverdueCalculated by Section 16 deadline calculator.
Item 405 Late Filing Justificationoptional
lateFilingJustificationMandatory justification if filing past statutory 2-business-day window.
Acknowledge Item 405 Proxy Disclosuresoptional
item405DelinquencyAcknowledgedAcknowledgment that late filing will be flagged in the annual proxy statement.
Section 16(b) Short-Swing Conflict Detectedoptional
shortSwingConflictDetectedFlagged if opposite-direction non-exempt trade occurred within 6 months.
Section 16(b) Waiver Approvedoptional
shortSwingWaiverApprovedGeneral Counsel clearance for Section 16(b) liability.
Section 16(b) Disgorgement Clearedoptional
shortSwingDisgorgementClearedProof of disgorgement payment to issuer.
Continue with the next guide in this framework's table of contents.
Mandatory initial statement of beneficial ownership of securities under Section 16(a) of the Securities Exchange Act of 1934.
Read guide Insider & beneficial ownership reportingMandatory annual statement of beneficial ownership of securities under Section 16(a) of the Securities Exchange Act of 1934.
Read guide Insider & beneficial ownership reportingPrepare, validate, approve, file, and reconcile quarterly Form 13F holdings reports under Exchange Act Section 13(f)(1) and Rule 13f-1.
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