Section 16 of the Securities Exchange Act of 1934 describes the various regulatory filing responsibilities that must be met by directors, officers and principal stockholders. According to Section 16, every person who is directly or indirectly the beneficial owner of more than 10% of the company, or who is a director or an officer of the issuer of such a security (a "reporting owner"), shall file ownership reports as required by this subsection with the SEC. Ownership reports are filed on Form 3, Form 4, and Form 5 and include one or more reporting owners for a given issuer.
Our SEC EDGAR Form 3, Form 4, and Form 5 Filing Solutions
Newsfile offers two solutions for filing Form 3, Form 4, and Form 5 with the SEC EDGAR system:
Self service: create an account with our web based Form 3, Form 4, and Form 5 filing software and prepare and file.
- Full service: complete a Form 3, Form 4, or Form 5 template (see below for links to PDF templates) and email it to us for processing on your behalf.
What you will need to submit a Form 3, Form 4, or Form 5 filing to SEC EDGAR
Reporting Owner CIK and CCC
Ensure you have the required EDGAR filing codes — a CIK and CCC is required for each reporting owner included on a Form 3, Form 4, or Form 5. Filing codes can be created by submitting a Form ID if the reporting owner is not currently registered with the SEC. Newsfile can apply for filing codes on your behalf, if requested.
Issuer CIK and Trading Symbol
SEC EDGAR Form 3, Form 4, and Form 5 Resources
The following are relevant news articles and resources relating to the creation and filing of Form 3, Form 4, and Form 5:
- Notice to EDGAR Filers: Postponement of Release 8.5 and Live Filing of Section 16 Reports Using the SEC's New On-Line Website
- Section 16 Electronic Reporting Frequently Asked Questions
- Notice to EDGAR Filers: SEC Establishes New Website for Creating and Filing Ownership Forms
- A documentation set for using the OnlineForms web site. Download and then run the exe file to install the files on your computer.
The following are links are related to completing Forms 3, 4, and 5: