Rule 10D-1 recovery case

ScreenSEC › SEC Workflows › Rule 10D-1 recovery case·step 1

Complete the Identity fields. Each value is validated against the schema before the next step unlocks.

• Listed reporting entity (required)

  entityId

  Select the issuer whose recovery case is being documented. Use its lowercase-with-dashes id, e.g. acme-corp-hq.

• Issuer CIK (required)

  issuerCik

  Enter issuer cik.

• Listing market (required)

  listingMarket

  Enter listing market.

ScreenSEC › SEC Workflows › Rule 10D-1 recovery case·step 2

Complete the Policy fields. Each value is validated against the schema before the next step unlocks.

• Recovery policy artifact ID (required)

  recoveryPolicyArtifactId

  Enter recovery policy artifact id.

• Rule 10D-1 policy compliance review artifact ID (required)

  policyComplianceReviewArtifactId

  Enter rule 10d-1 policy compliance review artifact id.

ScreenSEC › SEC Workflows › Rule 10D-1 recovery case·step 3

Complete the Trigger fields. Each value is validated against the schema before the next step unlocks.

• Restatement type (required)

  restatementType

  Use the issuer's approved Big R or little r analysis.

• Date the issuer was required to prepare the restatement (required)

  restatementRequiredAt

  Enter date the issuer was required to prepare the restatement.

• Approved restatement record ID (required)

  restatementRecordId

  Enter approved restatement record id.

• Restatement analysis artifact ID (required)

  restatementAnalysisArtifactId

  Enter restatement analysis artifact id.

• Derived recovery-period evidence artifact ID (required)

  recoveryPeriodArtifactId

  Link the fiscal-calendar derivation for the applicable period.

ScreenSEC › SEC Workflows › Rule 10D-1 recovery case·step 4

Complete the Population fields. Each value is validated against the schema before the next step unlocks.

• Covered executive population artifact ID (required)

  coveredExecutivePopulationArtifactId

  Enter covered executive population artifact id.

• In-scope incentive-based compensation was identified (required)

  affectedCompensationFound

  Enter in-scope incentive-based compensation was identified.

• Incentive-compensation scope analysis artifact ID (required)

  compensationAnalysisArtifactId

  Enter incentive-compensation scope analysis artifact id.

ScreenSEC › SEC Workflows › Rule 10D-1 recovery case·step 5

Complete the Calculation fields. Each value is validated against the schema before the next step unlocks.

• Award-by-award recovery calculation artifact IDoptional

  awardCalculationArtifactId

  Enter award-by-award recovery calculation artifact id.

• Total erroneously awarded amount in currency minor unitsoptional

  totalErroneouslyAwardedAmountMinor

  Enter total erroneously awarded amount in currency minor units.

• A stock-price or total-shareholder-return estimate is requiredoptional

  stockPriceOrTsrEstimateRequired

  Enter a stock-price or total-shareholder-return estimate is required.

• Reasonable-estimate methodology artifact IDoptional

  estimateMethodologyArtifactId

  Enter reasonable-estimate methodology artifact id.

• Estimate documentation supplied to exchange artifact IDoptional

  estimateExchangeDocumentationArtifactId

  Enter estimate documentation supplied to exchange artifact id.

ScreenSEC › SEC Workflows › Rule 10D-1 recovery case·step 6

Complete the Recovery fields. Each value is validated against the schema before the next step unlocks.

• Current recovery disposition (required)

  recoveryDisposition

  Enter current recovery disposition.

• Recovery demand and collection record artifact IDoptional

  recoveryDemandArtifactId

  Enter recovery demand and collection record artifact id.

• Amount recovered in currency minor unitsoptional

  recoveredAmountMinor

  Enter amount recovered in currency minor units.

ScreenSEC › SEC Workflows › Rule 10D-1 recovery case·step 7

Complete the Impracticability fields. Each value is validated against the schema before the next step unlocks.

• Impracticability basisoptional

  impracticabilityReason

  Enter impracticability basis.

• Independent-director impracticability decision artifact IDoptional

  independentDecisionArtifactId

  Enter independent-director impracticability decision artifact id.

• Reasonable recovery-attempt evidence artifact IDoptional

  reasonableRecoveryAttemptArtifactId

  Enter reasonable recovery-attempt evidence artifact id.

• Direct recovery-cost analysis artifact IDoptional

  recoveryCostAnalysisArtifactId

  Enter direct recovery-cost analysis artifact id.

• Home-country counsel opinion artifact IDoptional

  homeCountryLegalOpinionArtifactId

  Enter home-country counsel opinion artifact id.

• Impracticability documentation supplied to exchange artifact IDoptional

  exchangeImpracticabilityDocumentationArtifactId

  Enter impracticability documentation supplied to exchange artifact id.

• Tax-qualified retirement-plan analysis artifact IDoptional

  taxQualifiedPlanAnalysisArtifactId

  Enter tax-qualified retirement-plan analysis artifact id.

ScreenSEC › SEC Workflows › Rule 10D-1 recovery case·step 8

Complete the Disclosure fields. Each value is validated against the schema before the next step unlocks.

• Annual-report Exhibit 97 policy artifact ID (required)

  exhibit97ArtifactId

  Enter annual-report exhibit 97 policy artifact id.

• Annual-report recovery disclosure status (required)

  annualReportDisclosureStatus

  Enter annual-report recovery disclosure status.

• Annual-report recovery disclosure artifact IDoptional

  annualReportDisclosureArtifactId

  Enter annual-report recovery disclosure artifact id.

ScreenSEC › SEC Workflows › Rule 10D-1 recovery case·step 9

Complete the Governance fields. Each value is validated against the schema before the next step unlocks.

• Recovery-case determination rationale (required)

  decisionRationale

  Enter recovery-case determination rationale.

• Recovery-case decision made at (required)

  decisionAt

  Enter recovery-case decision made at.

• Accountable officer (required)

  accountableOfficerName

  Enter accountable officer.

• Governance approval artifact ID (required)

  governanceApprovalArtifactId

  Enter governance approval artifact id.