Schedule 13G/D SEC EDGAR Filing Agent Service

ACN offers investment managers a tool for managing the process of compiling and submitting the Schedule 13D or 13G reports to EDGAR.

The Schedule 13D (and the “short form” Schedule 13G) is a form that must be filed with the SEC under Rule 13D. The form is required when a person or group acquires more than 5% of any class of a company's shares. This information must be disclosed in some cases within 10 days of the transaction. Rule 13D requires the beneficial owner to also disclose any other person, who has voting power or the power to sell the security. Schedule 13D is known as the “beneficial ownership” report.

How it Works:

The Schedule 13D or 13G templates consists of two parts - the Client Menu Page for reviewing and managing all your prior reports and a Schedule 13G Template page to compile, save, edit and review a Schedule 13G report. The Template page is divided into five sections or tabs for each part of the report - Cover Page, Reporting Persons, Items, Signers, and Exhibits. Once you fill out and approve your report you can submit the report directly to EDGAR from the ACN APP™ or notify ACN who in turn will submit the report to EDGAR on a day or time you request.

Amendments are made easy. Create a new report by using the data from your last report, make your changes, save it and you are ready to submit. The reports are formatted in accordance with EDGAR specifications as an HTML file.

Unsure of your Obligation?

If you need assistance in determining if you are over the 5% reporting threshold, ACN also offers a service whereby we analyze your Holdings List and calculate what percent you own according to the most recent shares outstanding in each particular issue. Send us your Holdings List (Issuer Name, CUSIP or Symbol, shares owned) and we will in turn analyze the data and send you the results.

Helpful Links:

SEC 13G/D FAQ: https://www.sec.gov/divisions/corpfin/guidance/reg13d-interp.htm

13G App™ Demo – View Video Demo