Creating New Forms

When most of the form information is stored in the Section 16 application and available for reuse, creating new forms is a quick process. You can create a new form from a few different areas of the Section 16 application. This article covers two of them.

NOTE: Forms are associated directly with reporting owners. These steps assume that you already have your reporting owners set up in the Section 16 application. You can do this manually or you can import forms you have previously filed with the SEC.

Using Previous Forms

Use these steps if you want to file a form for a particular reporting owner that is similar to a form that you filed previously for him or her.

  1. Click the Filers tab, and then click the name of the reporting owner for whom you are filing the new form.

  2. This opens the owner’s detail page containing his or her transactions and other filing information.

  3. In the Forms section of the detail page, click the name of a form that shows the type that you want to file and for which the Live Filed column contains a check mark.

  4. When the form preview appears, if it is not the one you want to work from, you can cycle through the previously filed forms by clicking the Prev and Next buttons at the top of the form. image alt text

  5. When you find the right form, on the Actions drop-down menu, depending on the type of new form you want to create, click Copy or Amend. image alt text

  6. If you amend a form, the form type changes appropriately. For example, clicking Amend for a form 4 creates a form 4/A. The remaining step is based on using the Copy option, however the steps for amending a form are very similar.

  7. In the Copy Form dialog box, adjust the name and description, confirm the period of the report, and then click Copy.

A new form appears that is the same as the one you based it on, except for the settings you changed in the last step. This new copy is completely independent of the original, and changing one does not affect the other. Next you can edit the form as necessary for the current reporting date.

Create a New Form

The Section 16 application provides many ways to create a brand new form for a reporting owner. These steps show you one common way.

  1. On the Dashboard page, open the New Form menu next to the name of the owner you'd like to create a form under and select the transaction type. image alt text

  2. In the New Form wizard, complete each step by providing the information required along with any optional information.

  3. This information includes:

    • The form type, such as Form 4, New Transaction.

    • The form name (a suggested name is filled in for you), an optional description, and the reporting period.

    • The holding you are impacting. You can also create a new holding in this wizard.

    • Information about the shares.

    • The last step of the wizard will display a window with several tabs where you enter information on the transaction.

When you finish the wizard, the form appears, with the sections that you need to complete outlined in red. Next you can edit the form to fill in those sections, add footnotes, or fine-tune any other information.

TIP: You can create a brand new form anywhere in the application that shows a New Form or Create Form button or link. Other common locations include the Filers tab and on the page that shows a particular reporting owner’s filing information and transactions (which you can view by clicking the owner’s name on the Dashboard and Filers tabs).

Using Selected Holdings

If you want to create a form including a specific holding, you may do so by choosing the appropriate transaction type from the More Menu to the right of the security.

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This will create a form with that holding already listed so that you can easily report a transaction.