Starting a Draft Filing
Once insider creation is complete, you will now need to file a Form 3. There are a few ways to start a Form 3 filing.
1. Click the Need to file: Form 3 hyperlink in the Work Items panel.
2. Go to the Insider Ledger and Click ‘Quick Add’ > Form > Form 3.
3. In the top right of the home page Click ‘Quick Add’ > Form > Form 3 > Select the Insider you wish to file for.
Attaching Holdings
Once in the Filing Wizard, a filer will be prompted to Select Holdings to add to the filing.
• If you wish to add all Holdings click on the top checkbox next to “Holding”.
• You can also check off any holdings you wish to add in the order desired for the filing.
• You can save the draft at any time by clicking Save Draft. Click the “No” button to continue working or “Yes” to close the wizard.
Click Next to advance.
Adding a Signature
This page allows a filer to add the desired signature to the filing.
• If the desired signature has been stored, click the Radio Button next to it (arrow).
• If a new signature is needed, click the “+” button next to add signature (circle) > ?Type the desired signature > Check the Apply to All Insiders, if necessary > Click Add.
Adding an Attachment (i.e. Power of Attorney)
The next page allows a filer to add EDGAR filing notification recipients and attach any necessary documentation.
• Click the “+” icon next to “add attachments” to add a Power of Attorney or any other necessary attachments. Select the document type from the drop-down and browse your PC for the correct file. NOTE: The SEC only accepts plain text (.txt) or HTML (.HTML) files.
• Check the box next to your attachments, if necessary.
• Check the box next to any person needing an email notification of the filing.
• Click the “+” icon next to “Add Point of Contact” to add a new email recipient.
Click Finish to advance.
Select the type of filing you wish to submit (Live or Test). A test filing will alert a user of potential violations.
• Click Submit to submit the filing.