The Section 16 application was developed to facilitate your filing of Section 16 forms 3, 4, 5, and their alternate versions. The features of this application allow you to save and reuse filer information, forms, and supporting documents to speed up and streamline your filing process.

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Some of these simplifying functions include:

  • Monitoring the filing status of your forms

  • Creating and storing forms for later use

  • Keeping a library of commonly-used documents

  • Retaining filing information for users

Components of Section 16

You can open Section 16 by clicking on it in the left-hand menu.

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This application stores your information in separate categories based on the information type for easier management. The table below gives more detail on each category as well as some tasks you might perform from that category tab.

Category Description and Related Tasks
Dashboard Provides an at-a-glance view of form status, with columns for owners, unfiled forms, and recently-filed forms. Allows you to search for a specific user's forms as well as add a new form.
Forms Shows all filed and unfiled forms and gives an overview of the form, with options available for editing, importing, exporting, filing, and deleting forms. You can also save forms as PDFs from this tab.
Filers Lists reporting owners, issuers, and a brief overview of the member. Can click a reporting owner to see forms, signatures, holdings, and other information. Can add owners and issuers as well as edit their information from this tab.
Libraries Storage for all other documents necessary for filing, including footnotes, securities, signatures, and supporting documents. Can add, remove, and edit any item and have all linked documents update based on your changes.

Using Section 16

Using the Section 16 application for the first time is as simple as clicking Get Started. Following the Get Started wizard will help first-time users set up their first reporting owner, issuer, and security. You can import previously filed forms or create new ones; if you prefer, you can also contact your Account Executive to have forms imported. If you choose to import forms, you will not need to go through the Get Started wizard.

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Once your owners, issuers, and securities are established, you are ready to begin creating forms. You can also create new forms based on previously filed forms after you've imported them to your account.

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Once you've created your forms, you can begin adding transactions. If you imported forms, you can also edit transactions on your imported forms as long as they are unfiled.

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After you've completed your forms and reviewed them for accuracy, you can then file your forms with the SEC. As with any filing, we recommend you test file before live filing your forms.

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After you've submitted your forms, they will be marked as filed for that owner. You can see recently filed forms on your dashboard, and all filed forms for an individual will be shown on his or her holding page.

Viewing Reports

Once transactions have been committed, you can view detailed information on reporting owners, activity on holdings, and transactions as well as customize these reports to see the only the information important to you. Three reports are listed under the Reports tab. Choose the one you wish to view, apply a filter (if desired) and then click on the Export button.

You can also create a report from a reporting owner's detail page, by clicking the Create Report button.