Manage reporting owners

Adding a reporting owner is an essential step in Section 16. You can also edit reporting owner information and delete or deactivate reporting owners as needed.

Add a reporting owner

Reporting owners can only be added if the Registrant CIK, Name and Relationship with Issuer are provided. The CIK cannot be changed after the creation of a reporting owner.

To add a reporting owner to your account:

1. Click the Filers tab to view the existing reporting owners.
2. Click Add Reporting Owner to open the wizard.
3. In Step 1, enter the new owner's Registrant CIK. Then click Next.
4. In Step 2, enter the owner's Name and CIK Confirmation Code (CCC). A best practice is to enter names in a Last Name, First Name, MI format (Smith John P). The CCC is not required at this point, but will need to be added before forms can be filed for the reporting owner. Click Next.
5. In Step 3, enter the reporting owner's address (optional). Click Next.
6. In Step 4, select the issuer associated with this owner in the drop-down. Check all boxes that appropriately describe the reporting owner. Click Finish.

Edit reporting owner information

You can update the information for a reporting owner at any time.

To update the Registrant Name, CCC, Registrant Address or Relationship with Issuer:

1. Click the Edit icon to the right of the reporting owner's name.
2. Change information as needed in any of the three steps. Choose Next to move through the steps.
3. Choose Finish.

Edit a reporting owner address

A common change is to update only the address for a reporting owner. You can go directly to a dialog box to change an address without clicking through additional steps.

To update an address:

1. Go to the Reporting Owners tab under Filers. Check a box to select a reporting owner.
2. Choose Update Address from the More drop-down.
3. Fill in the address change or add an address as needed. Choose Save Changes.

Multiple reporting owners

If you need to added additional reporting owners to a Form 4, this can be done after you have added the holdings and transaction for the first reporting owner.

To add multiple reporting owners:

1. Navigate to the form and choose the Edit button. 
2. Click the +Add Reporting Owner button.
3. Use the drop-down to choose the reporting owner and click Add.
4. All reporting owners will be listed at the bottom of the form.

Delete or deactivate an owner

A best practice is to deactivate rather than delete reporting owners. If a reporting owner has already filed through Section 16, you will not be able to delete them. A deactivated reporting owner's information will be maintained but will not be available for transactions.

To delete or deactivate a reporting owner:

1. Click the More menu to the right of the owner's name.
2. Choose Delete or Deactivate.

What's next

• Set up your libraries
• Create new forms