EDGAR Filer Manual (Volume II)
PREPARING AND TRANSMITTING ONLINE SUBMISSIONS
This section walks you through the process of preparing your submission of ownership reports
(Forms 3, 3/A, 4, 4/A, 5, and 5/A) and Forms D and D/A using the EDGAR OnlineForms/XML
9.1 Online Filing Preparation
It is easy to create and submit your filings through the EDGAR OnlineForms/XML Website.
Submission form types 3, 3/A, 4, 4/A, 5, 5/A, D, and D/A are available for online preparation.
The EDGAR OnlineForms/XML Website software uses filer-provided information to prepare an
XML tagged primary document that can be verified and printed by the filer and then transmitted
to EDGAR for processing. Once EDGAR has accepted the submission it will disseminate the
header in tagged SGML and the primary document in tagged XML.
Note: Ownership Forms Only: You may create and submit only one Form submission at a time.
If you are filing on behalf of a company's officers and directors you must create a
separate form for EACH officer and director.
9.1.1 OnlineForms Data Gathering Model
Online submissions follow a basic model, with some distinctions dependent upon the submission
form type being filed.
18.104.22.168 Data Gathering Common to Ownership and Form D
In support of both the filing of ownership reports and Form D, the EDGAR OnlineForms/XML
Allow you to choose the type of submission to prepare, (i.e., File Ownership Forms or
File Form D)
Allow you to provide general submission information (i.e., contact name, phone
number, E-Mail address)
Allow you to provide additional E-Mail addresses to receive Filer Notification
Allow you to provide all of the necessary information required by the SEC rules on
an appropriate data gathering form
Allow you to provide your signature and signature date
Allow you to verify the information on the form
Allow you to review and confirm your information in the context of the form you are
filing and then print the submission for your records
Allow you to transmit the reviewed submission to EDGAR for processing
The following are important notes to consider when preparing a submission using the EDGAR