This article is for:
- Section 16 Filers
The Section 16 application streamlines the process of filing one or more forms with the SEC. In the filing process you are able to edit and upload supporting documents, test file (recommended) and then live file.
You will need a Section 16 Filer role to file completed forms. If you need to EDGARize an exhibit before filing, you will need an additional Workiva filer role. Information about roles is available in the Workspace Roles article.
Section 16 filing
To file Section 16 forms with the SEC:
- Go to the Forms tab, then the Unfiled Forms sub-tab. Check the boxes for the forms you'd like to file.
- Under the More drop-down, choose File Selected Forms.
- This takes you to the File Forms page. You can edit the contact information here if needed. If you need to attach supporting documents, choose edit Edit Supporting Document List from the More drop-down menu on the far right. Submissions can also be exported or removed using the More menu. If the supporting document is not in your library, choose Upload Supporting Document.
- When you've confirmed that all the information is correct and all supporting documents have been included, click the button to Test File or Live File. It is recommended that you always do a test filing before live filing, just in case there are any errors in your documents.
- A window will appear asking for a Central Index Key (CIK), SEC password and CIK Confirmation Code (CCC). Once these are entered, click the green button to proceed.
- A progress bar will appear under the Filing State column, to the right of each form as it is filed. Once the form has been successfully filed, this column will change to say Accepted if it has been accepted.
After you file a form, the Forms page updates appropriately. If a form was test filed, a check mark appears under the Test Filed column. If you live filed a form, the Dashboard shows the form in the Recent Live Filings column. You can also view filing details, such as the filing type, when the form was submitted, and by whom it was submitted, by clicking the Filing Details button in the Action column.
Filing suspensions and failures
If your form was not accepted, the Filing State will tell you if the form was suspended or if it failed filing. The Submission Status column will have a message regarding the reason your filing failed to complete.
Filing failures are often related to the filer's credentials. Check the password, CIK, and CCC you enter to make sure they match. Filing suspensions often arise due to errors in a document or a supporting document. Check to make sure that your documents are filled out correctly and accurately, and that your supporting documents meet filing specifications.
Please contact Support if further assistance is needed.