Filing with OfferingsLast updated on 07/30/19
Later in the Form Information step, you can enter all the necessary information about your offering, including fee offsets and fees paid. You will also see fees due, which automatically calculates after you enter the offering and fee offsets information.
Creating a Filing with Offerings
To create a filing with offerings:
- Set the document Type to the appropriate form type in Document
- Select the appropriate form for Filing Type when you start the filing.
- Complete Filer Information and form-specific options on the Form Information step.
- Click Next to go to the Offerings and Fees options.
You enter the necessary offerings information in a later Form Information substep.
- Enter what the information for your offering. You may not be required to enter everything listed below. Requirements change based on the offering type.
- Payment Type is either pay as you go or pay in advance.
- Security Type is the type of security being registered, offered, or sold.
- Amount Being Registered is the number of securities (shares) being registered, offered, or sold.
- Proposed Offering Price is the price per share for the security.
- Aggregate Offering Price is the sum for the number of shares multiplied by the price per share automatically calculated based on the Amount and Proposed values you enter.
- Click + Add to finish adding the offering. You can add more offerings by repeating these same steps.
Entering Fee Offsets
Enter the necessary fee offsets information in a later Form Information substep.
- Enter all of the necessary information for your offsets:
- CIK is the Central Index Key from the SEC. Enter the 10-digit numerical key.
- Form Type is the type of submission used to make the offset payment.
- File Number of the registration statement.
- Filing Date is the date you originally submitted the filing.
- Amount is the offsetting payment for the filer’s fee obligation (see Section 14 of the Exchange Act). Enter only numbers. You can include commas, decimals, and a dollar sign.
- Click + Add to finish adding the fee offset. You can add more fee offsets by repeating these same steps.
Adding Fees Paid
Enter the necessary fees paid information in a later Form Information substep.
- Enter the following for Fee Paid:
- Fee Paid is the fee amount you are paying with the filing. Enter amount with a dollar sign, such as $12,345.67.
- Third Party Payor CIK is the Central Index Key for the third-party who is paying the fee. Enter the 10-digit numerical key.
- Third Party Payor CCC is the CIK Confirmation code for the third-party who is paying the fee. Enter up to 8 characters that includes at least one number and one of the following special characters: @, #, $, *. This field is case-sensitive.
- Method is how the fee is being paid to the SEC, which is either FEDWIRE (electronic fund transfer) or LOCKBOX (certified or other check).
- Click Next to finish and go to the Notify step.