Preparing Your Filing Submission

Project Filing Wizard

This article describes how to use the Prepare Your Filing Submission step of the Project Filing Wizard. In this part of the wizard, you will complete the steps necessary to package the documents in preparation for filing with the SEC.

Prepare Filing Submission

To start this step of the Project Filing Wizard:

  1. Expand the Project Panel. On the Filing tab, select Prepare Filing Submission from the list of steps.

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  2. Click the Start button.

  3. The Prepare Filing Submission Wizard dialog box will display.

Filing Information

Complete the Filer form, where required fields are marked with a red asterisk. Based on the filing type you choose, the required fields will change. Refer to the EDGAR Filing Manual for any questions pertaining to the fields. If needed, consult your Customer Success Manager.

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Advanced Options

There are three Advanced Options checkboxes you can select:

  • Include Co-Registrant Information - Select this box if you are including co-registrant information in your filing.
  • Request a Return Copy - Select this box if you'd like a copy of your filing as received by the SEC. Copies of your filing are stored on your private EDGAR Filing website for seven days to download.
  • Is a Paper Copy Confirmation - A confirming copy is not an offical filing. This tag should be used only when the official filing was previously made on paper. When a Confirming Copy is sent, the File Number and value must be entered for non-subject company filings. For subject company filings, a File Number must be used.

If any information is entered using an invalid format, the border around the field will turn red and an explanatory message will appear upon hovering your mouse over the indicated field.

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If you need to add a co-registrant and selected the option on the previous step, you will need to enter their information on the Co-Registrants step. When filing a form certain forms, you will also need to choose if your co-registrants meet the Emerging Growth Company criteria and whether they’ve elected not to use the extended transition period. If you select the option Elected not to use transition period, you will also need to enable the Emerging Growth Company option. For more information on these options, please refer to the following SEC release: Inflation Adjustments and Other Technical Amendments under Titles I and III of the JOBS Act.

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Form-Specific Information

In this step, enter form-specific information as called for by the wizard. This may include period of report, submission type, fiscal year end, or other information depending on the item being submitted.

Attached Documents

This step provides you an opportunity to review the documents attached to your filing, listed in filing order. If changes need to be made, click Cancel to exit this step and return to the previous step of the wizard to make your changes.


The Notifications step displays a list of email addresses that will be sent a message informing them when the documents have been filed with the SEC.

To add an email address to the notification list:

  1. Enter the address in the text box.
  2. Click Add Recipient.

You can specify which types of filings, test, live, or all, an email should receive notifications on by clicking the pencil in the Notify On column.

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To remove an email address from the notification list

  1. Select the address in the list which will be removed.
  2. Click Remove Selected.

If you do not want to send notifications, select the option Do not send notification e-mails for this filing at the top.

DEI Review

If your document has Document & Entity Information, you will be prompted to review it and confirm that the displayed information is correct. If you need to correct this information, exit the wizard and do so. If the information is correct, confirm using the checkbox at the bottom of the window and click Next to proceed.

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The final step of the wizard is the Validation. The dialog box will display the project name, submission type, number of attached documents and number of email addresses that will be notified upon filing. You will also be alerted of any outstanding Validation Warnings. The dialog box will list each issue. Return to the mentioned step to resolve the problem.

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When all Validation Warnings have been resolved, the Prepare Filing Submission dialog box will display a green check mark indicating the project is complete and ready to be submitted for a test filing.

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To complete Prepare Filing Submission in the Project Filing Wizard, from the Validation step, click Finish.