This article describes how to import existing forms you have filed with the SEC, so that you can use any of the information from those forms in the Wdesk environment.
You can import forms the first time you use Section 16 Forms application or any other time. When you import the forms, the Section 16 application extracts and stores the appropriate information from them in the appropriate areas, all in one process. For example, it captures reporting owners and their CIK numbers, issuing-company information, transaction type, footnotes, and so on.
File Format for Importing
Before you import your forms, you need to get the correct file format for importing. The SEC automatically converts the forms when you file them, and the format is included on the SEC web site. To download them:
Open a new browser tab or window and go to the Filings & Forms page on the SEC web site.
Click the Search Company Filings link, and on the next page, click Company or fund name, ticker symbol, CIK…, or click Most recent filings.
The remaining steps depend on which search option you used.
If you used the Most recent filings option, do the following:
Filter the search results by entering your company information in the fields, and by specifying to show 100 entries. For the Ownership setting, select Only.
In the Files column of the table, for the form you want to import into Wdesk Section 16, click the [html] link.
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. (See image in the other column of this table.)
If you used the Company name, CIK, ticker, etc. option, do the following:
Filter the search results by entering your company information in the fields. For the and Ownership Forms 3, 4, and 5 setting, select Only.
Navigate the site further to display reporting owners, and then click the link for the reporting owner whose forms you want to import.
In the list of forms for that owner, click the link for the one you want to import.
On the next 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.
Importing Forms on First Use
The first time you use Wdesk Forms, you can import multiple existing Section 16 forms that you have filed previously. These steps assume that you already have saved your forms to XML files.
On the initial page that appears when you start the application, click Import.
In the Import Forms dialog box, click Browse Files, navigate to the location of the files you saved from the SEC site, select one or more of them to import, and then click Open.
Back in the Import Forms dialog box, select the Already Filed check box, make sure the check boxes next to the forms you want to import are selected, and then click Upload Selected.
During the import process, the Section 16 application creates forms, owners, issuers, and so on from the information in the files. The Status column in the Import Forms dialog box indicates the progress. The image below shows two files successfully imported and the third in progress.
If a file is not successfully imported, a red square containing an exclamation point appears in the Status column.
After the forms are imported, you can display other sections of the application to see where their information appears, or just get started creating a new form that is based on the information you just imported.
Importing Forms at Any Time
You can import forms any time after you start using the Wdesk Forms application as well.
Click the Forms tab, and on the More drop-down menu, click Import a Form.
Follow the same steps as in importing the forms the first time you use Wdesk Forms. You can import one or more at once.
If the form you import overwrites an existing form, you will lose any information previously entered in that form.