Create

After entering owner profiles and initial footnotes, you are ready to fill out one of the forms.

To choose a form, hover your mouse over the Create tab and select the form you need to complete from the drop-down list.

The choices are Forms 3, 4, and 5 and the amended versions of each, Forms 3/A, 4/A, and 5/A, which are used to amend a form on which an error was made when it was filed initially.

The forms pages function similarly for all types of forms. The content required for each of the forms varies, but the functionality is the same. Because you have entered much of the data on the pages under the Manage tab, the actual data input on the forms goes fairly quickly.

Form 3 and 3/A

Form 3 and the amended version, Form 3/A, are used to report an Insider’s initial affiliation with a public company to the SEC.

Affiliation Notification Only

Follow these steps to report an Insider’s company affiliation where there are no transactions to report, such as a new company director or officer:

1. Create/edit an Owner Profile under the Manage menu
2. Skip the Create menu, because there are no transactions to report
3. Select the Submit menu and choose Form 3.
4. Check the box for Include Blank Profile(s).
5. Follow the steps listed in Submit to submit the form.

Form 3 and 3/A with Transactions

To create a Form 3 or 3/A:

1. Hover your mouse over the Create tab and select either Form 3 or 3/A from the drop-down list
2. If the form is being used to report securities, select New for either Table I or Table II. Enter the information as described previously for Form 4
3. When amending a Form 3, there is no difference in the appearance of the forms. Enter the reason for filing as a footnote when you submit the form. The date is captured in the filing process

Form 4 and 4/A

Form 4 is the most commonly used form of Section 16. It is used to report any material change of ownership and must be reported to the SEC within two business days. The steps to create a Form 4 or 4/A are the same as the steps to create a Form 3, except for the type of form selected.

Form 5 and 5/A

Form 5 and amended Form 5 is used to report any transaction that should have been reported on a Form 4 or was eligible for deferred reporting. Form 5s must be filed 45 days after the company’s Fiscal Year End and are the least commonly used of the three Section 16 forms.

The steps to create a Form 5 or 5/A are the same as the steps to create a Form 3, except for the type of form selected.