You can import existing forms that you have previously filed with the SEC into Workiva. Import forms at any time in your workflow. When you import forms, Section 16 extracts and stores information from them including reporting owners, CIK numbers, issuers, transaction types, footnotes, and so on.
Before you import your forms, you'll need to get the correct file format. The SEC automatically converts the forms when you file them.
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.
Import forms into Section 16
Once you have saved downloaded forms in an XML format, you can import these forms into Section 16.
To import previously filed forms:
- Click Forms and then Unfiled Forms in Section 16. Click the More drop-down and select Import a Form.
- In the dialog box, click Choose Files. Navigate to the location of the files you saved from the SEC site. Select one or more to import. Click Open. Make sure the Mark as previously filed box is checked. Then choose Import.
- When the files are imported, Close the dialog box. The information from the forms is now available for your use or to use when creating new forms.
Note: If the form you import overwrites an existing form, you will lose any information previously entered in that form.
Two year imports
If you would like to do a two year import of previous forms, contact your Customer Success Manager to assist you with the process. The import will include the issuer (name, CIK, ticker symbol), the reporting owner (name CIK, relationship, holdings), securities and signatures. The import will not include CCCs, footnotes or supporting documents. All forms will be uploaded to the Archived Forms tab.