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No. * If the form is filed by more than one reporting person, see Instruction 4 (b)(v). B. The ALG legal team focuses on Nasdaq, NYSE, OTCQX. INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES. The SEC had proposed to make Rule 144 available for the sale of restricted and non-restricted securities of such issuers 90 days after the filing with the SEC of information required on SEC Form 10 (Form 10 information) so long as the other conditions of Rule 144 were satisfied. When completing Form I-9, Employment Eligibility Verification, you must make available to your employee the complete instructions to the form and the Lists of Acceptable Documents. 10-Q Class FT Email 3E-1 Mdm Tao Ming Jin (Mrs Yeo) tao_ming_jin@moe. We have activated this separate EDGAR website and would like you to become familiar with it. preceding the receipt of this sell order if SEC Form 144 isn’t required to be filed; or (b) 1% of the outstanding shares of the security, as shown in the most recent report …S-3: This filing is the most simplified registration form and it may only be used by companies which have reported under the '34 Act for a minimum of twelve months and meet the timely filing requirements set forth under Form S-2. 20549. Washington, D. Most of the information required by Regulation S Secant, cosecant and cotangent, almost always written as sec, cosec and cot are trigonometric functions like sin, cos and tan. 6 to issue that amount of securities at the time of filing the resale registration statement. For a person who is elected an officer or director of a company that already has a class of equity securities registered under Section 12, the 10-day period begins when the person becomes an officer or director. Notice: If you are an ownership form filer (specifically filing form types 3, 3/A, 4, 4/A, 5 or 5/A ), please login to our new OnlineForms website. 3. Request a printed copy of our financial statements. com facilitates online filing of SEC Section 16 Form 3, Form 4 and Form 5 with EDGAR for publicly traded companies required to report to the SEC. C. Form 3 is a document that a company insider or major shareholder must file with the Securities and Exchange Commission (SEC). a. 2017 SEC annual reports — Form 10-K | 1 . reference guide to help you prepare your SEC Form D is a filing with the Securities and Exchange Commission (SEC) required for some companies that sell securities in a Regulation (Reg) D exemption or with Section 4(6) exemption provisions. FORM 3. Secant, cosecant and cotangent, almost always written as sec, cosec and cot are trigonometric functions like sin, cos and tan. You can only satisfy an SEC filing obligation by submitting the FORM 3. Form S-3 (and Form F-3 with respect to foreign private issuers) allows a company with less than $75 million in public float to register primary offerings of its securities on Form S-3 or F-3, if the company: The SEC form S-3 is a simplified security registration form to be used by companies that have met prior reporting requirements. These are typically seen after a company IPOs when insiders make their first transactions. Your company must post these forms on its website within one day after they are filed with the SEC. A new registration statement on Form N-2 filed under Securities Act Rule 462(b) by closed-end investment companies of up to an additional 20% of securities for an offering that was registered on Form …FREQUENTLY ASKED QUESTIONS ABOUT RULE 144 AND RULE 145 Understanding Rule 144 under the Securities Act of 1933 What is Rule 144? The seller must file a Form 144 with the SEC at the time the sell order is placed with the broker if the seller is an affiliate andForm SD (HTML) Conflict Minerals Report (HTML) PDF [PDF:330KB] Reporting period from January 1 to December 31, 2016. 1. A Corporate Law Firm. 263A-1(g)(3) provides that indirect costs are generally allocated to intermediate cost objectives such as departments or activities prior to the allocation of such costs to property produced. There are sites that automatically track insider trades such as Inside Monitor but the best way, as always, is to get the information directly from the source, i. ) The …. Statement of changes in beneficial ownership of securities. Expanded and historical information is available from a third-party web site. FORM 3: UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. A Form 3 must be Visit Matsec website for SEC Syllabus Biology Year 9 (Form 3) Year 10 (Form 4) Year 11 (Form 5) Biology Matsec Examiners' Report 2012 Biology Checklist for Coursework Moderation Biology Sec May 2012 Marking Scheme Visit Matsec website for SEC Syllabus. Alert: The SEC takes your Section 16 filing responsibilities and deadlines seriously. Section 1. Filed August 3, 2018. *The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors about SEC Forms 3, 4, and 5. officers and 10 percent shareholders. Your employee has a legal name change. Schedule 13G is a short-form version and intended for passive investors, qualified institutional investors, and exempt investors. It is filed any time an insider makes a purchase, sale, option exercise, etc. See SEC rule 204-3(d) and similar state rules. SEC Form 3 FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. To Develop and Regulate a Capital Market that is Dynamic, Fair, Transparent and Efficient, to …Your employee is rehired within 3 years of the date that Form I-9 was originally completed. A Form 3 must be (3) The 3rd row is for SEC internal use; please leave blank. The prospectus contains this and other …Note: File three copies of this Form, one of which must be manually signed. Forms 3, 4 and 5 Every director, officer or owner of more than ten percent of a class of equity securities registered under Section 12 of the '34 Act must file with Microsoft SEC Filings Recent quarterly and annual filings are available from this web site in Microsoft Word format. It is less detailed than the Form S-1, andSchedule 13D is a long-form beneficial ownership disclosure statement and is intended for activist investors. Year . Address: 6 Bedok South, Ave 3, Singapore 469293 | Tel: (65) 6444 8593 (65 )6443 0563 | Fax: (65) 6449 4286© Bedok View Secondary School 2017. Our Mission. Form 3 is an SEC filing filed with the US Securities and Exchange Commission to indicate a preliminary insider transaction by an officer, director, or beneficial Jan 15, 2013 The initial filing is on Form 3. Ensure you have the required EDGAR filing codes — a CIK and CCC is required for each reporting owner included on a Form 3, Form 4, or Form 5. onlineforms. There are lots of SEC forms that investors have to wade through, but few are as important as the SEC Form S-1 Public Company SEC Reporting Requirements. Incomplete forms will not be processed. SEC Form 3. Items 1-3 and 8 must be reported in an 8-K within 15 days of the event. 4. , PLLC. When completing Section 3, you must also complete the last name, first name and middle initial fields in the Employee Info from Section 1 area at the top of Section 2 Accordingly, an issuer may not rely on Instruction I. 11. To whom must we deliver a firm . The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors about SEC Forms 3, 4, and 5. 1 Overview . SEC Filings . It is less detailed than the Form S-1, andFY2018 Annual Report. Only certain eligible issuers can register a securities offering on Form S-3 upon completion of their going public transaction. The trig properties we will use are:* If the form is filed by more than one reporting person, see Instruction 4 (b)(v). SEC Form 3 FORM 3: UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. The Annual Statement of beneficial ownership of securities is on Form 5. Filing Type . ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations 18 …SEC and Other Regulatory Filings; SEC and Other Regulatory Filings Q3 2018 Form 10-Q XBRL File (Readable Format) Q3 2018 Form 10-Q XBRL File* (XBRL) Q2 2018. Title Download ; An investor should consider investment objectives, risks, charges and expenses carefully before investing. You can only satisfy an SEC filing obligation by FORM 3 . INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES (Print or Type Responses) 1. The Securities and Exchange Commission (SEC) is announcing the availability of the SEC i-View eLoading System SEC Company Registration Goes Fully Online The Securities and Exchange Commission is launching a new online registration system, the Company Registration System (CRS), today, 21 November 2017, which will replace and discontinueAt its open meeting on December 11, 2007, the SEC voted to extend eligibility under the transaction requirements of Form S-3 (set forth under General Instruction I. sec. An insider can include a director or senior officer of a company, as Form 3 is an SEC filing filed with the US Securities and Exchange Commission to indicate a preliminary insider transaction by an officer, director, or beneficial (10%) owner of the company's securities. The Investor Relations website contains information about JPMorgan Chase & Co. APPLICATION FORM FOR THE REGISTRATION OF BROKER/DEALER,. The prospectus contains this and other …What you will need to submit a Form 3, Form 4, or Form 5 filing to SEC EDGAR Reporting Owner CIK and CCC. govMarketforms patented Section 16 solution is the leader in online Forms 3, 4 and 5 filings with the SEC. in their company's stock. These filings are made on Form 3, Form 4, and Form 5. 15, 2013 Changes in ownership are reported on Form 4 and must be reported to the SEC within two business days. Page-by-Page Form 3 (Entire Filing). Securities Lawyer 101 Blog. • Section 3 discusses which SEC forms require Article 11 pro forma financial information. The Big Ten adds Nebraska, Notre Dame, Virginia, North Carolina, and Duke. All Rights Reserved. see Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currentlyAnthony L. The initial filing is on Form 3 and changes are reported on Form 4. The forms contain information on the reporting person's relationship to the company and on purchases and sales of such equity securities. Jan. sec x = 1 cos xForm S-3 is a short-form registration statement that consists primarily of information about the specific transaction. the SEC website. • Section 4 walks through the general form and content requirements for pro forma financial information . brochure . The federal securities laws require certain individuals (such as officers, directors, and those that hold more than 10% of any class of a company’s Section 16 insiders must file an initial report on Form 3 with the SEC within 10 days of becoming subject to Section 16. INITIAL STATEMENT OF BENEFICIAL Corporate insiders – meaning a company's officers and directors, and any beneficial owners of more than ten percent of a class of the company's equity securities registered under Section 12 of the Securities Exchange Act of 1934 – must file with the SEC a statement of ownership regarding those securities. Address: 6 Bedok South, Ave 3, Singapore 469293 | Tel: (65) 6444 8593 (65 )6443 0563 | Fax: (65) 6449 4286SCHEDULE M-3 (Form 1120) Department of the Treasury Internal Revenue Service Did the corporation file SEC Form 10-K for its income statement period ending with or within this tax year? Yes. The initial filing is on Form 3 and is due no later than ten days of becoming an officer, director, or beneficial owner. Instructions for Part 2A of Form ADV: Preparing Your Firm Brochure . Anyone who is a Section 16 insider of a reporting company must file a Form 3 with the SEC under Section 16 of the Exchange Actafter an event triggering the Dec 13, 2017 FORM 3, UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES (the "SEC") a Form ID, including amendments thereto, and The Securities and Exchange Commission (SEC) is announcing the availability of the SEC i-View eLoading System SEC Company Registration Goes Fully Online The Securities and Exchange Commission is launching a new online registration system, the Company Registration System (CRS), today, 21 November 2017, which will replace and discontinueThe SEC Insider Form 4 report provides the investor with insight into whether corporate insiders are net buyers or sellers of the company stock, and which company officers are participatingSEC Rule 13e-3 Form: SEC 1893 Form: Going private transactions by certain issuers or their affiliates: Email us to see if available in Word: Not in Word: SEC Schedule 13D Form: SEC 1746 Form: In Formation to be included in statements filed pursuant to Rule 13-1(a) and amendments thereto filed pursuant to Rule 13d-2(a)If you are filing an ownership form (form types 3, 3/A, 4, 4/A, 5 or 5/A), or a Regulation D or Section 4(6) form (form types D or D/A), you will need to login to our Online Forms Management website at https://www. Identify the specific Part or Item number(s) in this Form (other than this Item 2. . (To be completed in duplicate). Definition of Form S-3: A registration form required by the SEC for public companies to register securities. 1) as to which the Firm's response has changed from that provided in the most recent Form AP or amended Form AP filed by the Firm with respect to an audit report related to the issuer named in Item 3. the SEC staff historically has been less likely to review the initial filing of a shelf registration statement on Form S-3 or Form F-3 than other forms of registrationNotice: If you are an ownership form filer (specifically filing form types 3, 3/A, 4, 4/A, 5 or 5/A ), please login to our new OnlineForms website. INITIAL STATEMENT OF Form 3 is an SEC filing filed with the US Securities and Exchange Commission to indicate a preliminary insider transaction by an officer, director, or beneficial Form 3 is a document that a company insider or major shareholder must file with the Securities and Exchange Commission (SEC). S. If you wish to file a non-XML submission to the SEC, please login to the EDGAR Filing website. You may not send a completed printout of this form to the SEC to satisfy a filing obligation. 11/05/2018 . A Form 12b-25 is a notification of a late filing when an issuer is unable to file all (or any portion) of a quarterly report on Form 10-Q, an annual report on Form 10-K and certain other reports within the prescribed time period to file a Form 12b-25 with the SEC. edu. Name and Address of Reporting Person* 2. Most of the information required by Regulation S Software for filing Section 16 Form 3, Form 4, and Form 5 Insider Reports with SEC EDGAR. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 OMB APPROVALDefinition of SEC Form 3, 4, 5 The SEC requires all corporate insiders and any owner of 10% or more of a company’s stocks to be registered and file Forms 3, 4 and 5. Insider’s Commonwealth of Pennsylvania State Ethics Commission SEC – 3 REVISED 11/17 INSTRUCTIONS 1. The Commission is authorized to solicit the information required by this Form You may not send a completed printout of this form to the SEC to satisfy a filing obligation. All documents are available in PDF format. 10-K (Annual Financials) 10-KSB (Annual Financials - Small Business) a report of unscheduled material events or corporate changes deemed of importance to the shareholders or to the SEC. An insider of an issuer that is registering equity securities for the first time under Section 12 of the Exchange Act FORM 3. ) Additional purchases by this holder do not have to be reported on Forms 3, 4, or 5, until the holder crosses the 10% threshold. The filing company must also meet the stringent qualitative tests prescribed by the form. As the SEC grows stronger, the Big Ten can’t be outdone. …Complete Section 1, Employee Information and Attestation. Source: SEC website. 8-K 10-K 10-Q SEC Form 3 SEC Form 4 SEC Form 5. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 Note: File three copies of this Form, one of which must be manually signed. Home / SEC Form 3. Exhibits11 pro forma financial information in SEC filings. 3 to register the resale of the balance of the securities on Form S-3 unless it has sufficient capacity under Instruction I. CORPORATE INVESTMENT ADVISER The SEC also requires companies to post the forms on their websites by the end of the Merrill's Section 16 Direct makes it extremely easy to file Forms 3, 4 or 5 26 Mar 2018 FORM 3, UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. An insider of an issuer that is registering equity securities for the first time under Section 12 of the Exchange Act You may not send a completed printout of this form to the SEC to satisfy a filing obligation. Filings Description Date Filed Download ; 4. FORM SEC 3. 1. A Small Entity Compliance Guide 1. At its open meeting on December 11, 2007, the SEC voted to extend eligibility under the transaction requirements of Form S-3 (set forth under General Instruction I. Forms 3, 4, 5. SEC EDGAR Website. Form 8-A requires disclosure of general information about the issuer’s securities, including dividend rights, voting rights and any anti-takeover provisions in the issuer’s Secant, cosecant and cotangent, almost always written as sec, cosec and cot are trigonometric functions like sin, cos and tan. © Bedok View Secondary School 2017. If space is insufficient, Instruction 6 for procedure. Insiders must file a Form 5 to report any transactions that should have been The Securities and Exchange Commission, SEC is a Government Agency Mandated to Regulate and Develop the Nigerian Capital Market. INITIAL STATEMENT OF BENEFICIAL May 7, 2018 SEC Form 3. 15 Jan 2013 The initial filing is on Form 3. edgarfiling. Date of EventThe SEC form S-3 is a simplified security registration form to be used by companies that have met prior reporting requirements. com is web based software enabling filers and law firms to easily prepare and file Section 16 Form 3, Form 4, and Form 5 insider reports to the SEC EDGAR System. Marketforms. To view these reports you must have Adobe Acrobat Reader. see Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMBIn this regard, while the filing of shelf registration statements on Form S-3 does not, in most cases, result in SEC review, and the time it takes to receive SEC clearance following the filing of a Form S-3 is relatively short (often, 10 days or less), this gap period between the public filing of a Form S-3 and its subsequent effectiveness is Notice: This OnlineForms website only supports the assembly and transmission of XML filings. An individual timely filed his Schedule 13D after acquiring more than 5% of the class of securities and his Form 3 initial statement of beneficial ownership after exceeding 10% ownership of the class, but then failed to update either filing over the next three years. Alibaba Group will provide a hard copy of its annual report containing the audited consolidated financial statements, free of charge, to its shareholders and ADS holders upon request. A Form 4 reports a change in an insider's ownership position to the SEC. The Commission is authorized to solicit the information required by this Form Form 3 is a document that a company insider or major shareholder must file with the Securities and Exchange Commission (SEC). Changes in ownership are reported on Form 4 and must be reported to the SEC within two business days. Most of the information required by Regulation S The following is a short description of some common corporate filings made with the SEC and available through the SEC's EDGAR system. (4) Classify the source of funds or other consideration used or to be used in making the purchases as required to be disclosed pursuant to Item 3 of Schedule 13D and insert the appropriate symbol (or symbols if …FORM 3: UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. of Form S-3) to include FORM 3: UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. Bring on the second super-conference. sec x = 1 cos x#d/dx sec(x)=sec(x)tan(x)# You could memorize this, but you can work it out too by knowing some trig properties. 16a-3 Reporting transactions and holdings. 13 Form S-3, for registration under the Securities Act of 1933 of securities of certain issuers offered pursuant to certain types of transactions. 333-147793). 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES (the "SEC") a Form ID, including amendments thereto, and Form S-3 is a short-form registration statement that consists primarily of information about the specific transaction. (a) Initial statements of beneficial ownership of equity securities required by section 16(a) of the Act shall be filed on Form 3. Form Type Form Type . FileSEC16. May we deliver our . See General Instructions for Part 2 of Form ADV, Instruction 3. ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations 18 …Page-by-Page Form 3 (Entire Filing). sg Mr Tan Wei Zhi tan_wei_zhi@moe. Form 3 . Note: The following text is a transcription of the Constitution as it was inscribed by Jacob Shallus on parchment (the document on display in the Rotunda at the National Archives Museum. This instruction sets forth registrant requirements and transaction requirements for the use of Form S-3. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934Guide to SEC Filings . You can find the limited categories of transactions not subject to the two-day reporting requirement in the new rule. Nearly every company must file SEC Form S-1 before going public. Please refer to the U. Complete all sections of the complaint form. We are pleased to present our . Laura Anthony, Esq. UNITED STATES SECURITIES AND EXCHANGE COMMISSION. You can only satisfy an SEC filing obligation by submitting the Items 1 - 161 of 161 This page provides links to PDF versions of SEC public forms and many Number:3, Description: Initial statement of beneficial ownership of These filings are made on Form 3, Form 4, and Form 5. More on sec. Skip lines 1b and 1c and complete lines 2a through 11 with respect to that SEC Form 10-K. To maintain the registration of these previously registered securities, Cytomedix filed a Form S-1 on 4/12/11 and a registration fee in respect of the common shares was paid concurrently with the filing (333 Form 3. Commonwealth of Pennsylvania State Ethics Commission SEC – 3 REVISED 11/17 INSTRUCTIONS 1. Exhibits4/19/2011 · The company filed a universal shelf registration on Form S-3 on 12/3/07 that was declared effective on 3/28/08 (SEC File No. The Form 4 lists the insider's name and relationship to the company, as well as the number of shares traded in the reported transaction and the share price. Form 13G is the same form, but used when the person or entity is making the purchase for "investment" only. sg 3E-2 Ms Nor Zubaidah Binte Hassan9/24/2018 · The Constitution of the United States: A Transcription. of Form S-3) to include § 239. Form 8-A is a shortened type of securities registration statement under the Securities Exchange Act of 1934, (the “Exchange Act”) that registers a class of an issuer’s securities. Real-time insider trading information including SEC form 4, insider trades, insider buying & selling data and stock information. SEC Annual Reports — Form 10-K . G. Form SD (HTML) Conflict Minerals Report (HTML) Other SEC Filings. Your newly hired employee must complete and sign Section 1 of Form I-9 no later than their first day of employment. e. Title: SEC FORM 3 Author: mackenzie. Form 424B3 is a type of prospectus for an investment offering that reflects facts or events that are a substantive change from or addition to the information set forth in the last form of prospectus filed with the SEC. 's business for stockholders, potential investors, and financial analysts. The federal securities laws require certain individuals (such as officers, directors, and those that hold more than 10% of any class of a company’s 3 will violate the requirements as to proper form for the registration statement under Rule 401 even though the registration statement previously had been declared effective. phillips Created Date: 2/3/2016 10:47:17 AMGuide to SEC Filings . Q2 2018 Form 10-Q (PDF) Q2 2018 Form 10-Q XBRL File (Readable Format) Q2 2018 Form 10-Q XBRL File* (XBRL) Wells Fargo reports on the SEC website. Download a free copy of Adobe Acrobat Reader. § 240. Statements of changes in beneficial ownership required by that section shall be filed on Form 4