Step 1 of 6: Identity
SEC Filings & Disclosure
Insider & beneficial ownership reportingCapture the reporting obligation, calculate its deadline, review and approve the report, submit it to EDGAR, and derive timeliness from the accepted receipt.
Basis: Beneficial ownership and insider reporting
/sec/startSecurities Exchange Act of 1934; Regulations S-K, S-X, S-T; 17 CFR Parts 229, 232, 240, 249
6 steps, completed in order. Each step is validated against the schema before the next unlocks.
Step 1 of 6
ScreenSEC › SEC Workflows › Section 16 Forms 3, 4, and 5step 1
Complete the Identity fields. Each value is validated against the schema before the next step unlocks.
Domain entity ID (required)
entityIdThe organisation or system this record is about — lowercase with dashes, e.g. acme-corp-hq. Pick one you have used before, or type a new id to create it.
Step 2 of 6
ScreenSEC › SEC Workflows › Section 16 Forms 3, 4, and 5step 2
Complete the Context fields. Each value is validated against the schema before the next step unlocks.
Form Type (required)
formTypeEnter form type.
Insider Relationship (required)
insiderRelationshipEnter insider relationship.
Reporting Person CIK (required)
reportingPersonCikEnter reporting person cik.
Issuer CIK (required)
issuerCikEnter issuer cik.
Is Amendmentoptional
isAmendmentEnter is amendment.
Step 3 of 6
ScreenSEC › SEC Workflows › Section 16 Forms 3, 4, and 5step 3
Complete the Timeline fields. Each value is validated against the schema before the next step unlocks.
Date person became subject to Section 16optional
becameReportingPersonDateEnter date person became subject to section 16.
Fiscal year end for Form 5optional
fiscalYearEndEnter fiscal year end for form 5.
Step 4 of 6
ScreenSEC › SEC Workflows › Section 16 Forms 3, 4, and 5step 4
Complete the Rule10b51 fields. Each value is validated against the schema before the next step unlocks.
Is 10b5-1 Plan Transactionoptional
is10b51PlanTransactionEnter is 10b5-1 plan transaction.
Plan Adoption Dateoptional
planAdoptionDateEnter plan adoption date.
Step 5 of 6
ScreenSEC › SEC Workflows › Section 16 Forms 3, 4, and 5step 5
Complete the Mechanics fields. Each value is validated against the schema before the next step unlocks.
Transaction Codeoptional
transactionCodeEnter transaction code.
Transaction Dateoptional
transactionDateEnter transaction date.
Deemed Execution Dateoptional
deemedExecutionDateEnter deemed execution date.
Acquired or Disposedoptional
acquiredOrDisposedEnter acquired or disposed.
Price Per Share (USD)optional
pricePerShareEnter price per share (usd).
Shares Transactedoptional
sharesTransactedEnter shares transacted.
Shares Owned Following Transaction (required)
sharesOwnedFollowingTransactionEnter shares owned following transaction.
Step 6 of 6
ScreenSEC › SEC Workflows › Section 16 Forms 3, 4, and 5step 6
Complete the Ownership fields. Each value is validated against the schema before the next step unlocks.
Ownership Nature (required)
ownershipNatureEnter ownership nature.
Nature of Indirect Ownershipoptional
natureOfIndirectOwnershipEnter nature of indirect ownership.
Continue with the next guide in this framework's table of contents.
Mandatory initial statement of beneficial ownership of securities under Section 16(a) of the Securities Exchange Act of 1934.
Read guide Insider & beneficial ownership reportingMandatory statement of changes in beneficial ownership of securities under Section 16(a) of the Securities Exchange Act of 1934.
Read guide Insider & beneficial ownership reportingMandatory annual statement of beneficial ownership of securities under Section 16(a) of the Securities Exchange Act of 1934.
Read guide