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Section 16 Filings

If you are just beginning to file in EDGAR, the Getting Started with EDGAR Filing section can help you with the process.


All potential Section 16 Filers, including Officers, 10% or more Owners, and Directors, are required to file Forms 3, 4 and 5. It is probable that some of these filings are to occur during the Initial Public Offering ("IPO") process. Please, consult your legal counsel as to when your Section 16 filings are first due.

  • Form 3 (Office 2013): All Officers, 10% or more owners and Directors
  • Form 4 (Office 2013): All inside trades or changes in ownership due within 48 hours of the transaction
  • Form 5 (Office 2013): All insiders required to report annual holdings at least once a year

Section 16 Filing Options

Section 16 Filings are often quite numerous in a publicly-held company. Merrill offers both a full-service and self-service filing option for you to consider when deciding how to meet your Sarbanes-Oxley filing requirements.

Merrill's Full-service Option - Your Merrill Customer Service Project Manager asks you to fill out a Word worksheet containing the required SEC information so that it can be converted into an EDGAR compliant format. These Word worksheets are available above on this page. This worksheet should be obtained from the website and submitted to Customer Service each time you are planning to send a filing for Merrill to EDGARize.

A proof of the filing is created, and Customer Service sends it to you for review. If edits are needed, simply hand-mark the pages on paper output, and fax or email only the pages that need to change to Customer Service. Customer Service sends you a revised proof and does not file with the SEC until you provide authorization.

Merrill's Self-service Option, Section16Direct - With Merrill's Section16Direct product, insider data is entered and stored on an easy to use webpage that creates the form in SEC-compliant format. The system offers the option to track Insider Holdings, allows you to review all filings on-line and offers you total control over each of your filings.

This system is supported 24 hours a day by Merrill's team of EDGAR filing experts, who can help you set up your account and answer questions about EDGAR. You can contact your local salesperson for a demonstration or call Merrill's EDGAR Support at 800.688.1933.

To get started on your own, go to the login page and click "Register now."

Benefits and Features of Section16Direct include:

  • The Reporting Owner's information (filing codes, relationship and signature) are stored after initial input and information is auto-populated into each newly-created form.
  • Stores forms that are in process and awaiting approval to file.
  • Provides proof for approval and review via PDF or on-line.
  • Central repository for all previously-filed Section16Direct submissions.
  • Enables user to copy previously-filed or in-process forms to create new filings.
  • Filers can attach exhibits such as a Power of Attorney ("POA") or exhibit 99.
  • Minimizes filing errors by allowing users to perform a test filing prior to live filing.
  • Holdings Management information utilizing a data base of transactions.
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