Import objects into Section 16

You can import objects into Section 16 to populate your libraries, simplify the process of creating forms in the future.

Import CCCs

You can import a .csv file containing multiple CIKs and CCCs to populate your CCC library. You will need a .csv file with two columns with headers, one for CIKs and another for CCC.

Click Import and choose CCCs.
Click Select File, then select the file on your computer to import
Enter the column header for the CIK and CCC columns in the appropriate field.
Click Import to import the file into Section 16.

Import Spreadsheets

You can import other .csv files into Section 16 using the Spreadsheets option in the Import menu. This can be used to import any non-form, non-CCC-protected information into your Section 16 library. Files imported using this option should use the template to format your information appropriately.

When importing spreadsheets, you can choose to fill the template with only reporting owner, issuer, and relationship information, or you can choose to fill out all fields including securities and holdings as well. Columns not included in the imported template will not be created on forms using on that imported template. You may choose to use a .xlsx template for ease of entering information, but files must be imported as .csv.

You can also check the Create Form 3s for Reporting Owners option to create new Form 3s based on the information in the imported file.

Import previously-filed forms

If you have filed forms with the SEC in the past, you can import these forms into Section 16 for your records or to facilitate form creation in the future. These forms will need to be downloaded from the SEC to ensure they are in the correct format.

Download forms from the SEC

To download forms from the SEC:

Open a new browser tab or window. Go to the Filings & Forms page on the SEC web site.
Click the Search Company Filings link. Choose how to search for your filing.
If you used searched for Latest Filings option, you can limit the results by Company, CIK, Form Type and so forth. Choose Only for Ownership.
In the Files column of the table, click the [html] link for the form you want to import.
On the Filing Detail page, right-click the link for the .xml version of the file, choose Save Link As (or the equivalent command in the browser you use), and save the file to your computer.
If you used the Company name, CIK, ticker or other parameters, filter for your company or reporting owners. Once you reach a list of filed forms, right-click the link for the .xml version of the file, choose Save Link As (or the equivalent command in the browser you use), and save the file to your computer.