In this video, we will teach you how to prepare, proof and submit an amendment to Form 3, 4 or 5.  Please note, at any time in this process, you can Save your form and return to the Form Management tab and retrieve it later by clicking the ProfileID link to the left of the Form.

To create your form amendment, we can do it two ways:

1. The first way is to create an amendment by reloading a previous form from the Form Management screen.  After clicking the reload button, you will be prompted to select the filing type.  Once this is done, you can begin editing your previously completed form. Because this is an amendment, you’ll also need to enter the date of the original filing in the “Date Original Filed” field.  Once all edits have been made you can file to the SEC.
2. The second way is to create an amendment filing from scratch.  You can do this by clicking in the “Form Management” tab by selecting Form 3/A, 4/A, or 5/A in the “Form Type” drop-down list, then clicking Create Filing.  In the Form Setup tab, select the individual that you are creating the Form 5 for in the “Reporting Owner” drop-down list.  Answer the question in the Group Owners section.  Select the Company that you are creating the Amendment for in the “Subject Company” drop-down list and enter that company’s Ticker Symbol in the appropriate field if it doesn’t pre-populate.  The Form Type will pre-populate to 3/A, 4/A, or 5/A.  Then enter the date of the earliest transaction being reported.  Because this is an amendment, you’ll also need to enter the date of the original filing in the “Date Original Filed” field.  Click Continue to save this information.  You can follow the steps in our Form 3, 4 or 5 videos to continue completing this form.  Once its complete, feel free to file to the SEC.