As you file a form through Section 16, you may need to include other supporting documents. You will need to upload the files to your supporting document library. Once a document is uploaded, you can also update and reuse documents going forward.
Upload a Word document
To use a Microsoft® Word document, you will need to import the document into Workiva and EDGARize or add the document to a filing and EDGARize. You will need access to Workiva as well as Section 16.
To upload a Word document:
- In Home, click on the Create link. Hover over Import and choose Import Word.
- Alternately, if you already have Workiva open, choose Import in the File toolbar and DOCX. Then choose Create a new document in the dialog box.
- Browse to find the file you need and choose Import.
- Once the document is imported, format as needed in Workiva. Then choose Save As EDGAR (.htm) to save the file in an appropriate folder.
- When the EDGARized file has been created, go to the Libraries tab, then the Supporting Documents sub-tab.
- Choose the Upload Supporting Document button. Only .txt, .htm, .jpg and .gif files can be uploaded. Fill in the required information: Supporting Document Type and Description. Reporting Owner(s) is an optional field. Use the checkbox to choose whether to include the supporting document in all filings for a chosen reporting owner.
- Click the Upload button. Your files are now available to attach to forms as needed.
Upload a PDF
You will need access to Workiva as well as Section 16 to EDGARize and upload a PDF as a supporting document in Section 16.
To upload a PDF:
- Go to Files in Home and choose the Upload button next to the search bar. To upload to a specific folder, right-click on a folder. Hover over Create and choose Upload.
- Browse for your PDF and use the drop-down to choose where to put the file.
- Next open a filing. Click the Add icon and choose the file. To file the PDF with Section 16, you will need to choose the radio button for File this PDF as an exhibit (convert to an SEC-compliant HTM file). Click Add.
- Once the file is uploaded, go to the options under the drop-down arrow to the right and choose Edgarize PDF.
- After the files have generated, check the box for the file in the list and choose the Download icon, then Download Filing Documents in the drop-down.
- Next go to the Libraries tab of Section 16, then to the Supporting Documents sub-tab. Chose the Upload Supporting Document button. Choose the Supporting Document Type, add a Description and click Choose File to browse for the appropriate file.
- Click the Upload button. There may be multiple .jpg files if the document has more than one page. Repeat the process if needed. Your files are now available to attach to forms as needed.
Note: Your uploaded documents will display as PDF when you select Export Submission on the Filing Screen. The documents will display differently on the SEC website.