Filing Wizard - Submit Live Filing

This article describes how to complete the Submit Live Filing step of the Project Filing Wizard. After you submit a successful test filing, you are ready to live file through Wdesk.

Only users with explicit permissions can live file with the SEC. See your company’s Wdesk account administrator if you do not have these permissions and need them.

Opening the Filing Wizard

In the first few steps, you open the Submit Live Filing step of the wizard.

  1. Expand the Projects panel on the right side of the Wdesk window.

  2. In the Filing tab, select Submit Live Filing, and then click the Start button.

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The Submit Live Filing step has four parts, each represented in the bulleted list on the left side of the wizard, the same as they were for the test filing.

Warnings

The warnings screen displays unaddressed issues which may cause an issue with your filing. If any warnings are displayed on this screen, you should address them before attempting to proceed with either a test or live filing.

Summary

The summary indicates whether you are ready to live file the project with the SEC. It shows the type of submission, contact information, reporting period, and other descriptive details about this filing.

If the summary appears correct, click Next to advance to the Contents step.

Contents

This page lists the documents that are included in the package, their document type, and a description. In this step you simply review the list and, if it reflects what you want to file, click Next to advance to the live file page. As in the test filing step, you can click on the document link to view it at this stage.

Live File

  1. Under SEC EDGAR Schedule, note the times of day during which you can access EDGAR and file your documents.

  2. Type your CIK, CCC, and password, and then select the check box to confirm that you acknowledge that this is a live filing (if you filled in your CIK and CCC in the Test Filing step, these will already be filled in).

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  3. As with test filing, you may choose to file with Workiva as your filing agent by selecting the File with Workiva option. Doing so will prompt you to enter a code provided by your Customer Success Manager.

  4. Click Finish.

NOTE: The submission cannot be canceled once you click Finish.

Verifying the Live Filing

After you submit the filing, an alert appears to notify you of the filing status.

All parties in the notification list for your project will also receive a status email from the SEC. The email will indicate the SEC’s assessment:

  • Accepted: If the live file is successful, the message will read ACCEPTED - XXX.

  • Failed: If the SEC finds errors with the submission, the message will read SUSPENDED - XXX, along with a list of all errors or warnings.

NOTE: During busy filing periods, the status message from the SEC may be delayed by 15 minutes or more.

Results of all live filings for your project are stored for future review under Submit Live Filing Details.

You can click the Actions menu button and select Details for more information about your filing.

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