The Section 16 application facilitates the filing of Section 16 forms 3, 4, 5, and their amended versions. You can save and reuse filer information, forms, and supporting documents to speed up and streamline your filing process.
You will need an Editor role to work in Section 16 and 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 will allow you to:
- Monitor the filing status of your forms
- Create and store forms for later use
- Keep a library of commonly-used documents
- Retain filing information for users
Components of Section 16
Open Section 16 by clicking on the link in the left-hand menu in Home.
Section 16 stores your information in categories based on information type. The table below gives details for each category.
|Category||Description and Related Tasks|
|Dashboard||Provides an at-a-glance view of form status with columns for owners, unfiled forms, and recently-filed forms. Allows you to search for a specific user's forms as well as add a new form.|
|Forms||Shows all filed and unfiled forms and gives an overview of the form, with options available for editing, importing, exporting, filing, and deleting forms. You can also save forms as PDFs from this tab.|
|Filers||Lists reporting owners, issuers, and a brief overview of the member. Click a reporting owner to see forms, signatures, holdings, and other information. Add owners and issuers as well as edit their information from this tab.|
|Libraries||Storage for all other documents necessary for filing, including footnotes, securities, signatures, and supporting documents. Can add, remove, and edit any item. Documents are linked documents to update based on your changes.|
|Reports||Reports include detailed information on reporting owners, holdings activities and transactions.|
Get started with Section 16
You can import previously filed forms or create new ones in Section 16. For new forms, follow the Get Started wizard to set up your reporting owner, issuer, and security.
If you choose to import forms, you will not need to go through the Get Started wizard. You can import forms yourself or contact your Account Executive.
You can also create new forms based on previously filed forms. Click on the New Form drop-down to the right of existing forms to choose the type of form you'd like to create.
Once you've created your forms, you can begin adding transactions. If you imported forms, you can also edit transactions on your imported forms as long as they are unfiled.
Complete your forms and review them for accuracy. Test file your forms and then file with the SEC.
After you've submitted forms, they will be marked as filed for that owner. You can see all recently filed forms on your dashboard. Filed forms for an individual will be shown on his or her holding page.
Three reports are listed under the Reports tab:
- Reporting Owners
Choose the one you wish to view and apply a filter if desired. Click on the Export button. You can also create a report from a reporting owner's detail page.