How to set up a Company in our database for EDGAR filings
The client fills out the EDGAR Authorization form and faxes to 310-642-6933
The most important info on this form is the EDGAR CIK Confirmation Code (CCC Code).
Once we get the form we set them up in our system.
A Test Filing is submitted to make sure the CCC code is correct.
How to send an EDGAR Filing through our system
The client should upload their release and EDGAR cover sheet through our Customer Service Center.
Once the job is submitted our news desk will call to confirm.
Preparing the EDGAR filing
If the filing is an 8K of a Wire release through Globe Newswire:
The EDGAR team will wait for the editorial team to create the release and get approval from the client.
Once the release is approved, the EDGAR team will attach the 8K cover sheet to the release in our database and send a preview email to the client.
The client can approve and/or schedule the filing through our customer service center. All filings need to be approved.
If the filing is not associated with a release:
If a filing is not associated with a release or if the client is not using our wire service and wants us to edgarize their earnings release the filing is considered a CUSTOM filing. We can only process custom jobs between 7 am to 7 pm pacific. (If they use our wire service we can edgarize their documents 24/7) The process time for a custom filing depends on the number of pages and number of tables.
As soon as the file is ready we will send a preview email to the client. The client can approve and/or schedule the filing online. They can also send us edits through the website, email (support@globenewswire.com) or fax 310-642-6033.
Client Review and Changes
The Preview Email has a link to the filing that is posted in our Customer Service Center.
The client has to have a user name and password to access this link.
The client can review their filing in progress and the archived filings through our Customer Service Center.
If they have changes they should either email or fax them to us. Once the changes are made we will send them a new preview email.
Approval
All Filings require client approval.
To “Approve” a filing log on to our customer service center.
Under SEC Filings tab click on Queued Filings
Next to Options, click on “Approve” link
(Note: If your filing is associated with a release you must first approve the release before you can approve the filing)
On The Approve page there are 4 options: (As part of your approval, you may also change the schedule)
Send your APPROVAL to the EDGAR Filing Team for IMMEDIATE release
Send your APPROVAL to the EDGAR Filing Team with a new schedule
APPROVE the EDGAR Filing and release it concurrently with the Wire Release (The filing will be released without further review by the EDGAR Filing Team)
APPROVE and Send the EDGAR Filing with a new schedule (The release will be released without further review by the EDGAR Filing Team)
Acceptance After we get the approval email we can either schedule a filing to go at a certain time or we can submit it immediately.
Once the filing is submitted to the SEC we will get an ACCEPTANCE email from the SEC. We will forward this to the client.
EDGAR Authorization Form Codes
EDGAR Central Index Key (CIK) – public info
The CIK is a unique, public number that is assigned to an entity that submits filings to the SEC. Use of the CIK allows the SEC to differentiate between filing entities with similar names.
EDGAR CIK Confirmation Code – (8 characters) NOT Public - Confidential
A unique, confidential code assigned to EDGAR participants which must be used in conjunction with the CIK number. The CCC is eight characters and consists of numbers between (0-9) and special characters (@, #, $, *). The CCC code is case sensitive and it is always in lower case.
SEC/ Commission File Number - public info
A number assigned by the SEC to registrations, applications and reports.
EDGAR Filing Signature
The name and title of the person that will appear on the cover sheet of the filing
