Step 1 of 7: Identity
SEC Filings & Disclosure
Periodic reports: 10-K, 10-Q & foreign filersPrepare, audit, validate, approve, file, and reconcile annual Form 11-K reports for employee benefit plans under Section 15(d) of the Securities Exchange Act of 1934.
Basis: Employee benefit plans and periodic reporting
/sec/startSecurities Exchange Act of 1934; Regulations S-K, S-X, S-T; 17 CFR Parts 229, 232, 240, 249
7 steps, completed in order. Each step is validated against the schema before the next unlocks.
Step 1 of 7
ScreenSEC › SEC Workflows › Form 11-K Employee Benefit Plan Annual Reportstep 1
Complete the Identity fields. Each value is validated against the schema before the next step unlocks.
Domain entity ID (required)
entityIdSelect the employee plan entity administering this Form 11-K filing. Use its lowercase-with-dashes id, e.g. acme-corp-hq.
Step 2 of 7
ScreenSEC › SEC Workflows › Form 11-K Employee Benefit Plan Annual Reportstep 2
Complete the Plan fields. Each value is validated against the schema before the next step unlocks.
Full Title of Employee Benefit Plan (required)
planNameFull formal legal name of the employee benefit plan.e.g. Acme Corporation 401(k) Savings Plan
Employer / Sponsoring Issuer Name (required)
issuerNameName of issuer whose securities are held pursuant to the plan.e.g. Acme Corporation
Issuer CIK (required)
issuerCik10-digit Central Index Key of the sponsoring issuer.e.g. 0001234567
Plan Fiscal Year End Date (required)
planFiscalYearEndEnd date of the fiscal year covered by this report.
Step 3 of 7
ScreenSEC › SEC Workflows › Form 11-K Employee Benefit Plan Annual Reportstep 3
Complete the Regulatory fields. Each value is validated against the schema before the next step unlocks.
Plan Subject to ERISA (180-Day Filing Deadline)optional
isErisaPlanPlans subject to ERISA have 180 days after fiscal year end to file; non-ERISA plans have 90 days.
Step 4 of 7
ScreenSEC › SEC Workflows › Form 11-K Employee Benefit Plan Annual Reportstep 4
Complete the Audit fields. Each value is validated against the schema before the next step unlocks.
Independent Registered Public Accounting Firm (required)
auditFirmNameAccounting firm auditing the plan financial statements.e.g. Ernst & Young LLP
Independent Auditor Report Date (required)
auditReportDateEnter independent auditor report date.
Auditor Is PCAOB Registered and in Good Standingoptional
pcaobRegisteredEnter auditor is pcaob registered and in good standing.
Consent of Independent Registered Public Accounting Firm Attached (Exhibit 23)optional
independentAuditorConsentAttachedItem 601(b)(23) mandatory consent of the independent accountant.
Step 5 of 7
ScreenSEC › SEC Workflows › Form 11-K Employee Benefit Plan Annual Reportstep 5
Complete the Financials fields. Each value is validated against the schema before the next step unlocks.
Net Assets Available for Benefits ($) (required)
netAssetsAvailableForBenefitsTotal plan net assets as of fiscal year end.
Employer Contributions ($) (required)
employerContributionsEnter employer contributions ($).
Participant Contributions ($) (required)
participantContributionsEnter participant contributions ($).
Benefits Paid to Participants ($) (required)
benefitsPaidToParticipantsEnter benefits paid to participants ($).
Step 6 of 7
ScreenSEC › SEC Workflows › Form 11-K Employee Benefit Plan Annual Reportstep 6
Complete the Amendment fields. Each value is validated against the schema before the next step unlocks.
Amendment Filing (Form 11-K/A) (required)
isAmendmentEnter amendment filing (form 11-k/a).
Amendment Numberoptional
amendmentNumberEnter amendment number.
Step 7 of 7
ScreenSEC › SEC Workflows › Form 11-K Employee Benefit Plan Annual Reportstep 7
Complete the Attestation fields. Each value is validated against the schema before the next step unlocks.
Signing Trustee or Plan Administrator (required)
signingTrusteeOrAdministratorPerson who signs on behalf of the plan administrator.e.g. Name and title of plan administrator
Date of Signature (required)
signatureDateEnter date of signature.
Continue with the next guide in this framework's table of contents.
Prepare, validate, review, approve, transmit, reconcile, and confirm an annual report on Form 10-K.
Read guide Periodic reports: 10-K, 10-Q & foreign filersPrepare, review, approve, submit, reconcile, and confirm an asset-backed issuer distribution report.
Read guide Periodic reports: 10-K, 10-Q & foreign filersPrepare, validate, review, approve, submit, reconcile, and confirm a quarterly report on Form 10-Q.
Read guide