The Process

Step One
E-mail your document(s) to our filing department as an attachment. Please include the following information in your
e-mail along with any special instruction so that we can process your request as efficiently as possible:

•Subject: Filer name and Form type
•Contact Information: Telephone number
•and e-mail address for filer
•Filer codes: CIK and CCC codes (if not
•currently on file)
•Deadline: Date you must file with the SEC

Additional information for forms 3, 4, 5, 13D, and 13G include:

•Subject Company CIK
•Name
•IRS Number

Step Two
Once the document is converted to the requested EDGAR format, a proof will be returned to you via e-mail. Review your EDGARized document and notify us of any changes or additions that are required. Edits should be faxed to 949.486.3995.

Step Three
Once we receive your approval on the final document, it will be filed with the SEC according to your instructions.

Step Four
We forward you confirmation of the live filing upon receipt of confirmation from the SEC.

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How to send us
your documents

• Financial tables that are embedded in your document require additional processing. We require that you send the original financial table (i.e. Excel or Word file) in addition to your EDGAR document.

• Please note that although we strive to match the converted document as closely with the original as possible, it will not look exactly like the original document.

• The current EDGAR system hours of operation for submitting EDGARized documents electronically are 6 a.m.-10 p.m. Eastern Time, weekdays, excluding Federal holidays. Files submitted and accepted by EDGAR before 5:30 p.m. Eastern Time will have the current business day’s date. Section 16 filings and certain other filings will have the current business day’s date if submitted and accepted by 10 p.m. Eastern.

Visit our Resources page for descriptions of forms, downloadable forms, membership applications, and more.

Call 800-492-5578, and ask to speak to an account representative about our filing services.