General Information

The General Info page is the same for all three forms and amendments except for the Date Information section. Follow these steps to complete this section:

  1. Hover the mouse over the Submit menu tab and choose the type of form from the pull-down list to open the File Page
  2. Choose the Owner Profile from the drop-down list. If there are no options listed, the form was never created. Return to the Manage menu to enter or import the owner profile and the Create menu to create the form

Owner Profile example

  1. Once the Owner Profile is selected, the Owner Information and Submission Contact Information are automatically populated. The Owner Information is taken from the Owner Profile and cannot be changed on this page. See Manage Owner Profiles to make changes to an Owner Profile.

The Submission Contact Information comes from your user profile as the person logged into the Certent DM platform. If you haven't enter profile information in the DM platform, These fields are blank. In this case, you must enter this information manually

  1. The Date Information parameters are different, based on the type of form being submitted as described below. Select the date with the date picker icon
    1. Form 3 – Date of Event Requiring Statement 
    2. Form 3/A – Date of Event Requiring Statement and Date Original Filed (Amendment) 
    3. Form 4 – Date of Earliest Transaction 
    4. Form 4/A – Date of Earliest Transaction and Date Original Filed (Amendment) 
    5. Form 5 – Issuer’s Fiscal Year Ended 
    6. Form 5/A – Issuer’s Fiscal Year Ended and Date Original Filed (Amendment) 
  2. Enter another email address to receive notification, if desired, in the Notification Information section
  3. Verify that all information has been entered correctly and click Save