How to Create and File a Form 4 to the SEC

In this video, we will teach you how to prepare, proof and submit a Form 4.  Please note, at any time in this process, you can Save your form and return to the Form Management tab and later retrieve it by clicking the ProfileID link to the left of the Form.

To start, in the “Form Management” tab, select Form 4 in the “Form Type” drop-down list, then click “Create Filing”.  In the Form Setup tab, select the individual that you are creating the Form 4 for in the “Reporting Owner” drop-down list.  Answer the question in the Group Owners section.  Select the Company that you are creating the Form 4 for in the “Subject Company” drop-down list and enter that company’s Ticker Symbol in the appropriate field if it doesn’t pre-populate.  The Form Type will pre-populate to 4.  Then enter the date of earliest transaction being reported.  Click Continue to save this information.

In the Relationship tab, the system will automatically populate data from your stored relationship under your reporting owner profile if the Subject Company and Reporting Entity match. Enter or edit the Reporting Owner Relationship and Address sections and click Continue to save this information.

In Table 1, add transactions and/or holdings of each class of securities for the Reporting Owner(s).  To enter a footnote, select Footnote to the right of the field you wish to apply the footnote to.  In the “Footnote” field at the bottom of the page, enter the Footnote and select “Add Footnote”.  Do that for each footnote that you have.  Once all footnotes have been added, select the “Apply to Field” box to the right of the footnote you would like to assign to that particular line item.  Once all necessary fields have been populated, click Continue to save and move to the next tab.

In Table 2, Add holdings of each class of derivative securities beneficially owned by the Reporting Owner(s).  Again, click Continue to save and move to the next tab.

In the Signatures tab, enter the Signature and Date.  

SEC filing confirmations will automatically be sent to all Reporting Owner(s) upon live filing. However, additional addresses can be entered into the Emails tab.

In the Proof tab, review the form for accuracy.  You can Print the proof and save it to your desktop, if needed.  

In the Exhibits tab, add Power of Attorney or other exhibits into the submission.  As per the instructions in the tab, upload an EDGARized HTML exhibit. If the exhibit is not SEC EDGAR compliant HTML, the filing will be suspended. Please refer to the tutorial video on preparing your own exhibits for filing.  

In the Submission tab, there is an option to Test File, Live File, or check the SEC’s Filing Status.  It is recommended to test file prior to live filing, to ensure your filing will not be suspended.  

Once you test file, you will be able to check the results by clicking on the SEC filing status option.  You will also receive an email confirmation.  If you receive filing errors about fields that weren’t completed correctly, you can adjust those fields or contact our support team for assistance.  

Once you receive a clean test filing result, you can Live File.

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