Transcription of Form 5 Instructions - SEC
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Form 5 Instructions - SEC
UNITED STATESSECURITIES AND EXCHANGE COMMISSIONW ashington, DC 20549 FORM 5 ANNUAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIESThe Commission is authorized to solicit the information required by this Form pursuant to Sections16(a) and 23(a) of the Securities Exchange Act of 1934, and Sections 30(h) and 38 of the InvestmentCompany Act of 1940, and the rules and regulations of information specified on this Form is mandatory. The information will be used for theprimary purpose of disclosing the transactions and holdings of directors, officers, and beneficialowners of registered companies.
Oct 28, 2020 · Form 3 holdings or Form 4 transactions reported on Form 5 represent delinquent Form 3 and Form 4 filings. (ii) Each transaction should be reported on a separate line. Transaction codes specified in Item 8 should be used to identify the nature of the transactions resulting in an acquisition or disposition of a security. A deemed execution date must
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