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The
SEC requires all Securities Exchange Act of 1934 Section 16(a) ownership reports
(Forms 3, 4, and 5) to be created and submitted via the OnlineForms web site
located at https://www.onlineforms.edgarfiling.sec.gov/.
This web site was built to enable insiders to file their reports directly. Newsfile Corp. is also available to assist filers prepare, proof, and
file Forms 3, 4, and 5. Call us at 604-609-0244 for more information.
If you are required to file Section 16 reports, there are several items that must be considered:
Every entity filing Section 16 reports (i.e. a director, insider, etc) needs to be registered with the SEC. This can be accomplished by completing and submitting a Form ID to the SEC for each entity. Upon successful registration, the SEC will provide the information required to access the OnlineForms web site and submit Section 16 reports. This information includes a CIK, CCC, and Password. Please note:
Only one CIK is required per individual, i.e. the individual only needs to submit one Form ID. If a director needs to submit Section 16 reports for involvement in multiple companies, the same CIK can be used.
It might take several days to receive the required information - CIK, CCC, and Password - from the SEC.
The CIK used to log into the OnlineForms web site will be marked as the entity responsible for filing any reports during that session. Should there be any questions or concerns with the filing of a report, the SEC may contact this entity. If you are filing Section 16 reports on behalf of multiple individuals, keep this in mind.
OnlineForms FAQs
I'm an insider filing my Form 3, 4, or 5 for the first time. What steps are involved?
Ensure you have filed a Form ID with the SEC and obtained your own EDGAR filing codes. You will require your CIK, CCC, and Password to file your insider report.
Ensure you have the Issuer's CIK and trading symbol. To find a company CIK, use the SEC's Search Companies and Filings or EDGAR CIK Lookup.
Open the SEC OnlineForms login page and enter your CIK and Password.
From the resulting menu to the left, click on "Assemble Ownership Submission."
Select the form type you wish to file (3, 3/A, 4, 4/A, 5, 5/A) and press the "Assemble Ownership Submission" button.
Complete and submit the resulting form. Please note you will need to enter your CIK and CCC in addition to the Issuer's CIK and trading symbol.
How and when must I complete and file a form 3, 4, or 5?
Links to PDF copies of Forms 3, 4, and 5 in addition to general instructions can be found below in our resources section.
SEC OnlineForms and Insider Reporting Resources
The following are relevant news articles and resources relating to the creation and opening of the OnlineForms site:
- 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:
EDGAR News | |
| XBRL Final Rule Posted: January 30th, 2009 The SEC has announced its final XBRL rule. For public companies, interactive data financial reporting will occur on a phased-in schedule beginning in 2009. The largest companies who file using U.S. GAAP with a public float above $5 billion will be required to provide interactive data reports starting with their first quarterly report for fiscal periods ending on or after June 15, 2009. | |
| SEC Announces XBRL Mandate Posted: December 18th, 2008 The Securities and Exchange Commission has voted to require public companies and mutual funds to use interactive data for financial information. The largest companies who file using U.S. GAAP with a public float above $5 billion will be required to provide interactive data reports starting with their first quarterly report for fiscal periods ending on or after June 15, 2009. remaining companies who file using U.S. GAAP will be required to file with interactive data on a phased-in schedule over the next two years. Companies reporting in IFRS issued by the International Accounting Standards Board will be required to provide their interactive data reports starting with fiscal years ending on or after June 15, 2011. | |
| XBRLit Launched Posted: September 18th, 2008 Automated Filing Services Inc. and TNT Filings Inc. announce strategic alliance and launch of XBRLit. | |
| more news >> | |