Applying for EDGAR Access Codes via the Form ID Process

  1. Access the EDGAR Filer Management Website (https://www.filermanagement.edgarfiling.sec.gov/)

  2. Click “Press Here to Begin”

  3. Click Apply for EDGAR Access (New)

  1. Select the ‘Application for EDGAR Access’ radio button.
    • To restore a previously saved Form ID application, select the ‘Continue with Saved Application for EDGAR Access’ radio button:
      1. Click ‘Choose File’, navigate to your saved .eis file., and click ‘Open’.
      2. Click ‘NEXT’.
  2. Click ‘NEXT’
  3. Complete the online Form ID Application
    • Enter information on each of the following sections. Use the ‘Previous’ and ‘Next’ arrows,
    • or use the section tabs in the left navigation to move through the Form ID application.

General Instructions

Review these instructions before completing your Form ID application.

Application for EDGAR Access

  1. Select Applicant Type.
  2. Indicate whether applicant is a Company or Individual.
    • A filer may be an individual if they are filing Section 16, Form 13H, or Schedule 13G.
  3. Check the box next to ‘Access codes will be used to submit draft registration statement’ if the filer will be utilizing the confidential draft review period.
Note:
The name of the applicant may be changed to conform to SEC standards, based on these circumstances:
https://www.sec.gov/page/edgar-how-do-i-prepare-and-submit-my-form-id-application#section2 (See section titled Applicant Name)

 

  1. Complete the required fields, indicated by asterisk, for the Applicant.

Filer Information

Provide additional information about the applicant, when the applicant is a company.

  • This section does not appear for Individual applicants

Contact Information

  1. Provide contact information for EDGAR Information and Access Codes.
    • The e-mail address listed as the EDGAR Contact is where your new CIK will be sent after the Form is submitted to the SEC for review. It is very important that it is entered correctly. This is also where all confirmations are sent if any changes are made to the EDGAR Profile as well as acceptances or suspension for EDGAR filings
  2. Provide contact information for SEC Account Information and Billing Invoices.

Documents

All applicants are required to provide an authentication document. The Form ID must be completed electronically, printed, signed and notarized and then uploaded to the documents area of the Form ID.

The Form ID application may only be signed by a duly authorized person, such as a partner, president, treasurer, corporate secretary, officer, or director.

Create the authentication document

  1. Save the Form ID to ensure information is not lost.
    1. Click Save.
    2. Click Continue.
      • Depending on your browser settings the file may be saved to your downloads folder. The file name contains ‘ID-NEWCIK.eis’ by default. The file can be renamed, however, the ‘.eis’ file extension must be maintained
Note:
You may wish to complete the Signature section prior to printing the authentication document. However, this is not required.

 

  1. Print the Form ID to create the authentication document.
    1. Click Print.
      • The Form ID is displayed on a new browser tab.
    2. Review the preview of the form.
      • If the information is not accurate, return to the EDGAR Filer Management tab and make the necessary changes.
      • After making changes, click Save, as per step 1 above.
    3. If the information is accurate print the Form ID.
Tip!
Use “Ctrl+P” to print your Form ID.

 

    1. Obtain proper signature and notarization. Signed Form ID must include.
      • Signature of Authorized Person.
      • Printed Name of Signature.
      • Title of Person Signing.
      • Notary Signature and Seal.
    2. Scan the notarized document, save it as a PDF file.
      • File names must be lowercase and no longer than thirty-two (32) characters in length, including the extension. The names must start with a letter (a-z) and may contain numbers (0-9) with no spaces. File names may contain one period (.), one hyphen (-), and one underscore (_) character and must have an extension of .htm, .txt or .pdf

Attach PDF to the Form ID application

  1. Click ‘Add Document’ (restore Form ID as needed).
    • Select the file you want to attach and click ‘Open’. The name of the attached file is displayed in the “File Name” field.
  2. Select the type of attachment from the Type drop-down list.
    • The options available are COVER, CORRESP, and EX-24.
    • Select CORREP for the authentication document.
  3. Provideadditional information, as needed, to further describe the document type in the “Description” field.
    • Add multiple attachments, if needed, repeat steps 1 through 3.
  4. If needed, to delete the document, select the box adjacent to the document, and click ‘Delete Document’
    • Click ‘Yes’ to delete the document from the submission.

Validate the file(s)

  1. Check the box(es) next to each file name.
  2. Click ‘Validate Document’.
    • If there are no errors the value in the ERRORS field will be ‘0’.
    • If there are errors in the document, then the ERRORS field displays the number of errors.
    • Click the value in the Errors field to display the errors.
    • Correct any document errors, delete the invalid file and replace with the corrected file.

Reach out to Toppan Merrill’s e-product service team at 800-688-1933 or [email protected] for help with validation errors.

Signature

  1. Enter the typed signature of the applicant. The authorized representative of an applicant that is not an individual or the individual authorized to sign by the individual applicant or authorized representative.
  2. Enter the Date and Title/Position.
Note:
The Signature that is entered is the text equivalent of the signer’s manual legal signature.

 

Add Passphrase

The passphrase is an EDGAR security code that is used to generate (or regenerate) the EDGAR access codes necessary for making filings via EDGAR with the SEC. The passphrase is not used to log on to the EDGAR Filing or OnlineForms websites.

  1. Enter a Passphrase. It must be entered twice for accuracy. The passphrase must be 8 characters long and must contain at least one digit and one of the following characters: @, #, *, or $.
Tip!
Remember this Passphrase! It will be needed to generate new codes once the Form ID application is approved by the SEC, as well as generate replacement codes in the future. Note that this passphrase is not your EDGAR Login password. Once you obtain your CIK via e-mail, this passphrase, along with your CIK, may be used to generate your EDGAR Login password (as well as CCC and PMAC).

 

  1. Save the Form ID.
  2. Click ‘SUBMIT’.
    1. If any errors occur fix and resubmit.
    2. If there are no errors, you will receive a confirmation pop-up screen, click ‘Transmit LIVE Submission’.
  3. The Form ID Application Acknowledgement screen indicates that your Form ID application was successfully received by the SEC. An accession number is your tracking number for this request.
    For example:

Your Form ID was successfully submitted.
Your accession number for this submission is 9999999996-19-001234.

  1. Print the Window to print out the page or make a note of the accession number.

Verify that the email Acceptance or Suspension message from [email protected]  has not been moved to the Junk email folder. Based on our experience, if the email has not been received within 24 hours, it’s a good idea to call the SEC Filer Support to verify receipt.

If you have any questions regarding the status of your Form ID application, reference the accession number when contacting the SEC Filer Support. Filer Support can be reached at (202) 551-8900 Option 4.
See the SEC’s FAQ on Form ID here:https://www.sec.gov/info/edgar/form-id-faq.pdf

Once the EDGAR Contact has received an email acceptance from the SEC with a CIK, continue to Generating Access Codes .