Section 16 Filings – Who must file?

Section 16 Filings must be completed by a company’s officers and directors, and any beneficial owners of more than 10% percent of a class of the company’s equity securities registered under Section 12 of the Securities Exchange Act of 1934.

Form 3 – File within ten days of becoming an officer, director, or beneficial owner of more than 10% of a class of registered equity securities (or no later than the effective date of the registration statement if the issuer is registering equity for the first time). Form 3 – Initial Statement of Beneficial Ownership.

Form 4 – File within two business days after the transaction date. Form 4 – Changes in Beneficial Ownership.

Form 5 – File 45 days after fiscal year end, (February 17, 2026 for companies with a fiscal year ending December 31, 2025). Form 5 – Annual Statement Changes in Beneficial Ownership.

How to apply for Access Codes?

Each individual or entity that is required to file must have Access Codes. 

• Contact us for a Form ID Application in order to begin the process. 
• Processing time takes within 2-6 business days by SEC.
• Section 16 filings are accepted from 6:00 AM to 10:00 PM EST Monday – Friday (except for federal holidays).

Resources

Select the links to download Section 16 Forms Instructions in Word format: Form 3 Instructions, Form 4 Instructions, Form 5 Instructions.

Section 16 Reporting FAQ.

Call our Sales Representative for expedited service. 904-363-0506

This information has been obtained from www.sec.gov and believed to be reliable, but cannot be guaranteed for accuracy. Consult with legal counsel before relying on the information provided.