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How do you file a Section 16 form in the Workiva platform as a manual file, but NOT have it submitted to the SEC?

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  • Mike
    Hi Melodie!

    To clarify, are you asking how to test file in Section 16, or how to do a non-reportable transaction? Let me know and I'll be happy to assist either way.

    Thanks, and have a happy Thanksgiving if I don't hear from you. Cheers!
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  • Melodie Morin
    Hi Mike,

    I guess I am referring to a process that is not a typical practice for all companies.  We have one director that prefers that all filings be filed with Edgar through his attorney.  I create the Forms 4 and 5 in-house, then send to his attorney for filing.  This requires us to create the form and allows us to track this in our personal Edgar filer, but since we do not file it ourselves, it does not sit in the filer system as a "filed" form.  Our legacy Edgar filer allowed us to complete a "manual file" by checking a box, and it would act as if it was filed but would not be sent to the SEC.  Is there a way to complete this same outcome in WDesk?  
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  • Mike

    Gotcha, Melodie. That makes sense.

    You have a few options, in this case, all of which are found within the Forms tab and then from the More drop-down next to a desired form.

    First, you can prepare the form within Wdesk and once its read, you can export it as an XML file from the Export option above, if that is suitable for your attorney to then upload and file. If XML is not a viable option for you, you can email the form, or save as PDF and email. Either way, it will attach the form as a PDF to the recipient at which point they could input the data and file.

    Additionally, you can choose 'Mark as Filed' from the drop-down to denote that the form was indeed filed, though not in Wdesk. This would act as the 'manual file' option, in a sense.

    NOTE: the 'Mark as Filed' option is only available for Workiva Support Users. Sorry for the confusion.

    Lastly, you can always test file from within Wdesk too through the File Form option, or provide your attorney access to Wdesk so they can perform the filing.

    Let me know what questions you have for me, or if you need anything else. Thanks, and have a great rest of your day in the meantime.

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  • Kelly Quinnett

    Is the "Mark as Filed" option still available? I am having difficulty finding it. Thank you!

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  • Mike

    Hi Kelly!

    I did some double-checking on this and confirmed that the option is still available, however, only a Support User, i.e. your CSM, can see that option. In that case, you'll need to reach out to them to mark the form(s) as filed for you.

    I realize that this is contrary to what I mention above, so my apologies there for the confusion up above. I've added a note to that comment to help clarify for future readers.

    Let me know what questions you have in the meantime. Thanks again and happy Friday!

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