Can be re-generated at any time by using your passphrase. Can be changed at any time by using your PMAC. Expires annually from the date you created it or was last changed so please ensure you change your password annually via the EDGAR Filing Website. Is a very private code, and only one or two persons in an organization should know it.

Generating access codes—new and replacement You should generate new access codes if you: Are you a new filer; Forgot your password or your password has expired; Forgot one or all of your access codes PMAC, CCC, and password ; or Would like to generate new access codes for security purposes. Click Generate Access Codes from the menu options.

It is recommended that you print this window and store the codes in a safe location. It may be helpful to include the date you generated these codes as the password expires annually see below for how to update your password. Updating the passphrase—security token process. Use only if you have access to the email on file. Sends a security token—used to generate a new passphrase—to the email on file. Is instantaneous and does not require a waiting period of 2 business days.

Follow these steps to submit an update passphrase request through the security token process. On the left-hand side menu, click the Update Passphrase option. A new window will pop up with three options. Select Continue. Within the next few minutes, an email—containing your security token—will be sent to the address on file with the CIK.

Manually type the security token number into the box marked Security Token. Now create your new passphrase, which must be exactly eight 8 characters, all lowercase. It also must contain one of the four 4 special characters listed, at least one number, and at least one letter. Type the passphrase again to confirm and then submit. The system will return an accession number to confirm your passphrase has been updated. Updating the passphrase—manual update process.

Use only if the email on file is not current or is missing, or if you are otherwise unable to use the security token process. Requires a signed and notarized attachment.

Requires a manual review and can take a waiting period of 2 business days. Follow these steps to submit an update passphrase request through the manual update process. Type the passphrase again to confirm. The system will then display what the form will look like upon printing. Click Print Window. If necessary, make any adjustments to the contact information by manually crossing it out and replacing it with legible handwriting or text. The SEC will use the contact name and phone number to call the individual and confirm the passphrase update, so please ensure you are listing the relevant individual.

Once access codes are generated, this information can be changed by updating your company information. This form must be manually signed by an authorized person and notarized, and a power of attorney must also be included if necessary.

The notary seal or stamp must be clearly visible. Scan in the document s if necessary and save as a. Next click OK. The system will then take you to a page where you will then click Submit. The system will return an accession number to confirm that your passphrase request has been submitted for manual review. Record the accession number for future reference.

Wait business days for the SEC to approve your request. You may also call Filer Technical Support to check on the status , Option 3. A third-party filing agent has submitted filings on your behalf. Enter CIK and password. Select Change CCC. Enter CIK number. Enter Password. Enter new CCC. Confirm new CCC. Changing the password The EDGAR password expires annually, 12 months after it was created or last changed, and must be changed before the expiration date.

Follow these steps: Enter CIK and password. Select Change Password. Enter old password. Enter new password twice. Enter PMAC. Sharing access codes You should limit the number of people with whom you share your access codes to protect the data submitted. The filing agent applicant type must be used only by a financial printer, law firm, or other person, who will be using the access codes to submit a filing or portion of a filing on behalf of a filer. Indicate whether you are filing for an individual person or a company.

The following are definitions for each of the applicant types. Clearing Agency —Any person that is a "clearing agency" as defined in Section 3 a 23 of the Securities Exchange Act of , as amended. See 15 U. Filer —Any person or company on whose behalf an electronic filing is made that is not otherwise covered by another applicant type.

Filing Agent —A financial printer, law firm, or other person, which will be using these access codes to send a filing or portion of a filing on behalf of a filer.

Funding Portal —A broker acting as an intermediary in a transaction involving the offer or sale of securities offered and sold in reliance on Section 4 a 6 of the Securities Act, that does not: 1 offer investment advice or recommendations; 2 solicit purchases, sales or offers to buy the securities displayed on its platform; 3 compensate employees, agents, or other persons for such solicitation or based on the sale of securities displayed or referenced on its platform; or 4 hold, manage, possess, or otherwise handle investor funds or securities.

Municipal Advisor —Any person that is a "municipal advisor" as defined in Section 15B e 4 of the Securities Exchange Act of , as amended. Municipal Securities Dealer —Any person that is a "municipal securities dealer" as defined in Section 3 a 30 of the Securities Exchange Act of , as amended. Nationally Recognized Statistical Rating Organization —Any person that is a "nationally recognized statistical rating organization" as defined in Section 3 a 62 of the Securities Exchange Act of , as amended.

Non-Investment Company Applicant under the Investment Company Act of —Any person submitting an application for an order seeking an exemption under the Investment Company Act of , as amended. Security-Based Swap Data Repository —Any person that is a "security-based swap data repository" as defined in Section 3 a 75 of the Securities Exchange Act of , as amended.

Security-Based Swap Dealer and Major Security-Based Swap Participant —Any person that is a "security-based swap dealer" or a "major security-based swap participant" as each term is defined in Sections 3 a 71 and 67 of the Securities Exchange Act of , as amended. Security-Based Swap Execution Facility —A trading system or platform that is a "security-based swap execution facility" as defined in Section 3 a 77 of the Securities Exchange Act of , as amended.

Training Agent —Any person that will be sending only test filings in conjunction with training other persons. Transfer Agent —Any person that is a "transfer agent" as defined in Section 3 a 25 of the Securities Exchange Act of , as amended. On this page you may also: Add additional ABS issuing entities to the request; Modify the name, email address, or passphrase of any ABS issuing entity listed on the request; or Delete an ABS issuing entity from the request.

Scroll through the submission type list, select H, and click Go to Form. File names for the authenticatiing PDF must adhere to all of the following restrictions: 32 characters or less, including the file extension.

All characters must be lowercase. File name must start with a letter a-z and not contain spaces. May contain digits May have up to one period. Generate access codes 1. Check the Adding New radio button. After submission, an acceptance notice sent to the email address on file will list the new IDs.

They cannot be selected by the filer. Where do I make changes to ID information? The Series and Classes Contracts Information page will appear. This is the page where you can edit your information. The Edit Investment Company Type page will appear.

Select the correct investment company type from the drop-down list. Click OK to accept the selection or click Cancel to cancel your selection. To modify series and class contract information: Select the radio button next to the series or class contract you want to update. Click Modify. A new page will appear where you can edit your series or class contract. Enter the updated information. Click OK to accept the changes or click Cancel to cancel the changes. All updated information will be displayed in blue text.

Repeat the above steps for each item you want to update. Otherwise you can select Continue Edit to go back to the editing page. Below is a discussion of each status: Active —Series and classes contracts will automatically receive an active status upon creation in EDGAR.

Except in certain limited circumstances, filers should not change a status from inactive or merged to active. A change in status to active will be blocked for SEC review and may be suspended. Inactive —Series or classes contracts that are no longer offered, go out of existence, or de-register should change their status to Inactive after the last EDGAR filing for the series or class contract has been made.

For a status to be changed to merged, the original status must be active. Please note: If a series status is changed, all the associated classes contracts will automatically be updated with the same status. All active series must have at least one active class. If the class is the only one for an active series, then its status cannot be changed to inactive. If you change the series status to inactive then the class status will automatically be changed to inactive.

Please note: A series or class contract name cannot be blank. Two series regardless of status within the same filer cannot have identical names. A class contract name cannot be used for more one class of the series. Ticker symbols cannot be a duplicate for the filer. Each line must not exceed 80 characters including spaces. The font must be Courier or Courier New, font size Make the margins at least 1 inch on the right and left.

HTML header tags—what are they? Organizational charts If you choose to attach a document consisting of an organizational chart to your H filing, it must be uploaded as a readable PDF document with scanned images that have been parsed for character recognition to pass EDGAR validation.

Printing If you would like to print a form prior to submitting, click the print button in the form and choose a blank form or the current form with your form data. Saving form data. The Company Information page will appear. Editing company information Click the Edit Company Information button at the bottom of the page.

Click on the field you want to edit and update that information. If this is the case, a pop-up dialog box indicating the company name you entered as well as the EDGAR conformed company name will appear to inform you that the name you entered was modified. You will be informed of any changes made by the software once you submit your changes. To cancel the changes, click the Cancel Changes button or click on the browser's back button. The Edit Company Information Results page will then appear confirming your changes.

You can then access or edit all information associated with that CIK. Company information changes to the mailing address, contact person, state of incorporation, etc.

This process may take a few minutes. Company name changes, however, must be reviewed and accepted by our Filer Support staff to ensure that any change to a company's name is appropriate.

If your proposed name change is rejected, you will receive a suspension notification message; otherwise you will receive an acceptance notification message. Once accepted, the updated name will not appear on SEC. Determining filing fee rate. Learning about filing fee options choose the Filing Fee Registrants tab. Paying fees by wire transfer Fedwire. Viewing your account balance, amount of last deposit, and account activity.

Note that account information may take up to 24 hours from the date and time of the last transaction to display updated information on the Balance Information page. Calculating fees. Using the Registration Fee Estimator. Amending a filing. Avoiding incorrectly used form types related to filing fees.

Requesting a refund. Learning about filing fee Fedwire tags and terminology and the answers to frequently asked questions. Filers should be prepared to correct the following matters through corrective disclosure--in other words, by filing a correction or amendment to the incorrect filing, or, if applicable, withdrawing a duplicate filing: To correct the submission type. If a filing is submitted using the wrong submission type, the filer should refile the document using the correct submission type.

To correct the file number. If a filing includes an incorrect file number, a filer may refile the document with the correct file number. To correct other information in a filing. If a filing is made containing incorrect text, the filer may refile the document with the correct information.

Staff will not make pre- or post-acceptance changes to the text of filings. In a request for header information changes, please provide the following information: The name and CIK of the company; The accession number of the filing that is the subject of the request; The EDGAR submission type of the filing that is the subject of the request; Identification of the specific error; Identification of the correct information that the filer should have used; and An affirmative request that we change the submission to correct the information.

You should receive emails for every filing submitted using your CIK if you have set up your company information properly. The email should include The accession number received after submitting the request to EDGAR; and A name, email address, and phone number for the person the SEC should contact regarding the request.

The SEC generally processes filing date adjustment requests within business days of receipt. The request must include all of the following: The reason s that the hardware and software necessary to submit electronically is not available without unreasonable burden and expense; A description of the burden and expense that would be involved to employ alternative means to make the electronic submission; The reasons for not submitting electronically the document or group of documents; and A justification for the requested time period.

The description field is optional. Browse for the PDF document from your computer and add it. If document format errors exist—indicated by a red number in the Errors column—click on the red number to see a list of those errors. Return to your original document before upload and correct the document errors; then upload the corrected document.

Be sure to validate the document again, as described above, to ensure all errors were corrected. If you need assistance please contact Filer Technical Support at , option 3. You may validate the attached copy of your document by selecting the Doc Validation button at the top of the Documents tab.

Provide general submission information, including a CIK, contact name, phone number, and email address. Provide additional email addresses to receive filer notification messages. Provide all of the necessary information required by the SEC rules that form, such as reporting period end date or reporting file number.

Provide your signature and signature date. Verify the information on the form. If relevant, edit reporting owner address on the form where necessary. Upload attachments, i.

Review and confirm your information in the context of the form you are filing and then print the submission for your records. For example, if you are filing ownership forms on behalf of a company's officers and directors, you must create a separate form for EACH officer and director. For ownership form types, there is no capability to save work in progress , so it is important for you to have all of the information necessary to complete the form before you begin to assemble your submission online.

You can exit the window at any time to discard your work in progress and start over. The maximum size of your submission must not exceed MB. Transmitting an online XML form When you create an online form, the preparation and transmission processes are combined in a single browser session.

Filer-constructed submissions The SEC recognizes that there are cases when filers will want to prepare their own submissions without the use of the EDGAR filer interface. Transmitting filer-constructed submissions After you prepare your filer-constructed submissions, you can submit them using the EDGAR website pages for transmitting filings.

Repeat the instructions above to attach additional documents. To do so: Click the Notifications tab to add email addresses. Enter the email address of anyone you would like to receive notice of the status of your filing. You must correct the errors on each page. Step 3—Create a template in Notepad to convert the Word document to HTML Type the following tags in Notepad exactly as they appear in the example below please note that you should enter your own title of the document in the Title section.

In the File Name field, type the name of the file with an. File name must start with a letter. File name cannot contain any spaces. It may contain digits It may have up to one period. Lines may not exceed 80 characters. To help your text stay within the designated area, type your information using Courier or Courier New, font size Make the right and left margins at least 1 inch.

Next, the File Conversion dialog window appears. See image below. Browse your computer, locate your. Check the box to the left of your uploaded document and select the Doc Validation button.

If the document passes EDGAR validation, the error box will read as 0 and you may progress to the next step in preparing your filing for submission. Click the number to view the specific errors. Its primary purpose is to increase the efficiency and fairness of the securities market for the benefit of investors, corporations, and the economy by accelerating the receipt, acceptance, dissemination, and analysis of time-sensitive corporate information filed with the agency.

As of that date, all public domestic companies were required to make their filings on EDGAR, except for filings made in paper because of a hardship exemption. However, some documents are not yet permitted to be filed electronically, and consequently will not be available on EDGAR. Forms 3, 4, and 5 security ownership and transaction reports filed by corporate insiders filed before June 30, may be filed on EDGAR at the option of the filer, but those filed on or after that date must be filed on EDGAR.

Filings by foreign companies and foreign governments before November 4, either could be made on EDGAR at the option of the filer, or were not permitted to be filed electronically, but from that date on, these filings must be made on EDGAR. It should also be noted that the actual annual report to shareholders except in the case of investment companies need not be submitted on EDGAR, although some companies do so voluntarily.

Preliminary proxy statement — A preliminary proxy statement subject to review by the SEC staff. DEF 14A. Executive Compensation Domestic public companies regularly disclose the compensation of their chief executive officer and other highly paid executives, and describe their executive and board compensation policies.

Definitive proxy statement — Companies subject to the proxy rules will typically provide detailed compensation disclosure, including a compensation discussion and analysis section, in their annual proxy statement. Current report — Changes to compensation for certain executive officers requires disclosure under Item 5. In addition, companies regularly disclose who their significant shareholders are and institutional investment managers, such as managers of mutual funds, hedge funds, or pensions, regularly disclose their holdings.

SC 13D. SC 13G. Institutional investment manager report — Institutional investment managers disclose their holdings and any changes to them on a quarterly basis. Business Combinations Depending on how a merger or acquisition is structured, different types of filings may be required by the companies involved in the transaction. Common form types filed in connection with a business combination include the following. Preliminary proxy statement relating to a merger or acquisition — A preliminary proxy statement, which remains subject to review by the SEC staff, filed in connection with a merger or acquisition.

Registration statement — Filed when the company is registering securities to be used as consideration in the merger or acquisition. The registration statement often incorporates any proxy statement being sent to shareholders. Prospectuses and communications — Written disclosures and communications in connection with a business combination where securities are part of the consideration.

Often, the disclosure document sent to shareholders is filed as an exhibit to the filing. SC 14D9. Public Offerings In order to register an offer and sale of securities to the public with the SEC, a company must file a registration statement. The first time a company publicly offers and sells its securities is known as its initial public offering.

A prospectus , which often is a large part of the registration statement, is the document given to investors that discloses information about the company and the offering. Registration statement — Filed to register the offer and sale of securities to the public often in connection with an initial public offering.

Short-form registration statement — An abbreviated registration statement available to certain already-reporting companies to register the offer and sale of securities to the public. Prospectus — A document disclosing information about the company and the offering that typically comprises a large part of the registration statement.

Correspondence — Publicly released correspondence from the company and its advisers to the SEC staff typically during a review process. Securities-based Crowdfunding Crowdfunding is a way to raise money from small individual investments or contributions from a large number of people. Companies that offer and sell securities to the public in reliance on an exemption from registration for securities-based crowdfunding must make filings on EDGAR.

Offering statement — Disclosure by the company making a crowdfunding offering that contains information about itself and the offering. Progress updates — Disclosure during the offering about the status of meeting the target offering amount unless the intermediary provides updates on its online platform and the final amount of securities sold.

Termination of reporting — If eligible, a filing by the company terminating its obligation to file annual reports.