Filing Wizard - Submit Test Filing

This article describes how to complete the Submit Test Filing step of the Project Filing Wizard. You complete this step after you have completed the wizard steps to convert your documents to EDGAR HTML format, select the documents to file, and package them correctly.

It is recommended that you test file as early as possible in your timeline. Test filing will reveal SEC errors or warnings in your filing, so you can resolve them before you live file.

Opening the Filing Wizard

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

  2. On the Filing tab, select Submit Test Filing.

  3. Click the Start button.

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The Submit Test Filing wizard step has four parts, each represented in the bulleted list on the left side of the wizard.

Warnings

The Warnings screen displays unaddressed issues which may cause problems 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.

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Summary

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

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If the summary is correct and error-free, click Next to advance to the Submission Contents step.

Content

This page lists the documents that are included in the package, document type, submission order, and a description.

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In this step, review the list and, if it reflects what you want to file, click Next to advance to the Test File step. If you wish to review a document's EDGAR file, you can click the file name in this list to open it. If you'd like to change something, click Cancel and return to Wdesk to make any changes. Be sure to Share any changes you make before starting the Filing Wizard again.

Test File

On the Test File page:

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

  2. Type your password (your CIK and CCC information should be filled in already), and then click Finish. The Create Test Filing Preview box is checked by default, so that a preview will be generated - uncheck this box if you don't wish to create a preview of your test filing. Additionally, you may test file with Workiva as your filing agent by checking the File with Workiva option.

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If you checked the Create Test Filing Preview box, there will be a Preview button once the filing is generated that you can click to view your Preview. The preview will be created in a separate tab in your browser. Depending on the size of your filing, this can take several minutes to generate.

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

If you chose to create a test filing preview, the preview will open in a separate tab or window in your browser. The test filing preview will show a list of the documents submitted, along with the document type, and the descriptions of each that were entered in the Select Filing Documents step.

The .htm file names can be clicked on to view the EDGAR version of the document, as it will appear on the SEC's site once the live filing is completed. You'll also see the SEC Notification Message with the status of the test filing, and notification of any errors returned. Some examples of things to look for are called out below:

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There is also a Frequently Asked Questions (FAQs) section to help explain what you are seeing with the test filing.

You can submit multiple test filings, so that you can see the results before submitting a live filing. Wdesk keeps a list of the test filings in the Filing panel for review purposes.

Click the Actions menu next to any filing to Preview it, see the Details window regarding the filing again, or to Delete it entirely from the list of test filings. Alternately, on the Documents tab, you can view them in the Test Filing Preview Documents folder, which contains the same links to preview the filing.

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Verifying the Test Filing

Depending on the size of your filing, it could take a few minutes to test file your submission. An alert appears to notify you of the 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 test file is successful, the message will read ACCEPTED - TEST.

  • Failed: If the SEC finds errors with the submission, the message will read SUSPENDED - TEST, 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 test filings for your project are stored for future review under Submit Test Filing Details and Previous Test Submissions.