Filing Forms with the SEC

The Section 16 application has made filing forms with the SEC as simple as clicking a button and entering some basic information.

Choosing Unfiled Forms

Step 1. From the Forms tab, look over your Unfiled Forms list and check the box next to any and all forms you'd like to file. A column on the right will show a check mark if the selected form has already been test filed. Note that individual forms can be filed from within the form's page, accessible by click on the form name from either the Dashboard or from the Forms tab.

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Step 2. Once you've chosen which forms to file, click on the More button at the top of the page and choose File Selected Forms from the drop-down menu. This will take you to the filing page.

Reviewing Selected Forms

Step 3. On this page, you will see a list of the forms you've chosen to file at the bottom, as well as the contact information of the filer. Make sure you've selected all the forms you wish to file and that the contact information listed is correct.

On this page, you'll also need to attach any supporting documents that are used in your forms, if any. To do this, open the More menu and choose Edit Supporting Document List. This will open a window where you can check the box(es) next to any supporting document you need to attach.

If the supporting document you want to include is not in your supporting document library, you can upload a new supporting document by opening the More menu and choosing Upload Supporting Document. After uploading the desired supporting document, it will be automatically attached to your form and added to the Supporting Document Library.

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Test and Live Filing

Step 4. When you've confirmed that all the information is correct and all supporting documents have been included, click the button to test or live file. It is recommended that you always do a test filing before live filing, just in case there are still any errors in your document(s).

Step 5. Whichever type of filing you choose to do, a window will appear asking for a valid Central Index Key (CIK), SEC password (not your Wdesk password!), and CIK Confirmation Code (CCC). Once these are entered, click the green button to proceed.

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Step 6. A progress bar will appear under the Filing State column, to the right of each form as it is filed. Once the form has been successfully filed, this column will change to say Accepted if it has been accepted.

If your form was not accepted, the Filing State will tell you if the form was suspended or if it failed filing. The Submission Status column will have a message regarding the reason your filing failed to complete.

Filing failures are often related to the filer's credentials, so you should double-check the password, CIK, and CCC you enter to make sure they match.

Filing suspensions often arise due to errors in a document or a supporting document, so you should check to make sure your documents are filled out correctly and accurately, and that your supporting documents meet filing specifications.

Step 7. After you file a form, the Forms page updates appropriately. If a form was test filed, a check mark appears under the Test Filed column. If you live filed a form, the Dashboard shows the form in the Recent Live Filings column. You can also view filing details, such as the filing type, when the form was submitted, and by whom it was submitted, by clicking the Filing Details button in the Action column.