DFIN GIC Regulatory Filing Coverage Guide
Section 16, Form 144, and Schedule 13D & 13G Filing Software
Efficiently file SEC ownership forms electronically with our secure financial reporting software. Based upon your needs, choose to access just these SEC form types or the complete ActiveDisclosure platform.
Meet new electronic filing requirements with confidence
The SEC has created new rulings around the electronic submission of documents that were previously paper. Make the smooth transition with our Section 16, Form 144, and Schedule 13D & 13G reporting software that minimizes late filings and FINRA/SEC escalations.
Secure, self-service Section 16,
Form 144, and Schedule 13D & 13G
Gain access to these form types standalone within AD
Report equity ownership & changes to corporate securities electronically
What does the mandate mean for you?
Read nowSimplify your beneficial ownership filings
Section 16
Our Section 16 filing software helps you easily manage filing Section 16 forms 3, 4, and 5. Section 16 filings are required for certain insiders and decision-makers to report their holdings as well as any changes in ownership of the company's securities. Individuals subject to Section 16 reporting include directors, officers and beneficial owners of more than 10% of a company's stock.
Form 144
Comply with the new electronic filing regulations of Form 144 with filing software from DFIN. Use AD to file Form 144 whenever affiliates plan to sell their restricted or control securities. These typically are acquired through private placements and other restricted means, meaning they are not registered for public resale. Filling out Form 144 is required for altering the SEC of an insider's intention to sell a large number of shares in a specific timeframe.
Schedule 13D & G
Streamline your Schedule 13D filing and 13G reporting process with our beneficial ownership reporting software. These are required for investors who acquire beneficial ownership of more than 5% of a company’s equity securities. These filings ensure transparency by disclosing significant ownership changes to the SEC and the market.
Download the Schedule 13 D and Schedule 13 G filing templates to simplify your beneficial ownership reporting requirements and ensure timely submissions.
End-to-end solution for digital filings
Section 16 & Form 144
Fortified Security
Streamlined UI/UX
Schedule 13D & 13G
Reduce Filing Risk
Section 16 & Form 144
- Create, test and live file with the SEC
- File for multiple reporting owners
- Footnote across multiple forms
- Auto-fill forms with saved data
- One-click previews before filing
Fortified Security
Secure SEC EDGAR filing built from the ground up for client security and data privacy with SOC 2 Type II audits. Protected by modern technologies for cybersecurity, anti-malware, encryption, firewall, MFA, SSO, and more.
Streamlined UI/UX
Streamlined UI/UX experience enables instant access to your projects, rapid task completion and low learning curve.
Schedule 13D & 13G
Adhere to the latest Schedule 13D and 13G requirements and submit your EDGAR filings in machine-readable, structured data format (XML) with ActiveDisclosure to enhance visibility for investors.
Reduce Filing Risk
Client experience is at the core of everything we do
Client stories:
Cross River Bank saves time & money on private company reporting
WTW optimizes SEC filing efficiencies & improves productivity
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Now Section 16, Form 144, and Schedule 13D & 13G are part of the ActiveDisclosure platform
Streamline your entire Section 16, Form 144, and Schedule 13D & 13G filing process. From preparing an IPO to quarterly and annual SEC filings, manage all requirements accurately and securely with our ActiveDisclosure SEC reporting software.
Explore ActiveDisclosure
We have prepared our unaudited interim condensed consolidated financial statements included herein pursuant to the rules and regulations of the Securities and Exchange Commission. Certain information and note disclosures normally included in annual financial statements prepared in accordance with accounting principles generally accepted in the U.S. have been condensed or omitted pursuant to these rules and regulations, although we have strong thoughts that the disclosures made are adequate to make the information not misleading. In our opinion, the unaudited interim condensed consolidated financial statements contain all adjustments.
We have prepared our unaudited interim condensed consolidated financial statements included herein pursuant to the rules and regulations of the Securities and Exchange Commission. Certain information and note disclosures normally included in annual financial statements prepared in accordance with accounting principles generally accepted in the U.S. have been condensed or omitted pursuant to these rules and regulations, although we have strong thoughts that the disclosures made are adequate to make the information not misleading. In our opinion, the unaudited interim condensed consolidated financial statements contain all adjustments.
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