Amend a filed report

What you can amend

A Section 16 ownership form is amended with a Form 3/A, 4/A or 5/A, started from New filing like the form itself.

Link the original filing

Choose the original under Amends, or Filed elsewhere for one filed outside TakePublic. File as amendment on a Form 4 whose rows are already on EDGAR picks the original for you.

Say what the amendment does (Add lines, Correct lines or Other) and give a one-line reason. The reason is recorded on the filing and in the audit trail, and the form files it as an explanation footnote. Amendment numbers count per original (Amendment No. 1, No. 2).

• Forms 3/A, 4/A and 5/A file only added or amended lines, with each amended line reported in full (Form 3 General Instruction 8; Forms 4 and 5 General Instruction 9). Copied lines read Unchanged, not refiled. Amend this line corrects a line, and Add a line adds a transaction the original left out. The reason and any additional notes under Why it changed file as numbered explanation footnotes. The amendment cannot be sent until at least one line is amended or added, or an Other amendment says what it corrects.
• A reporting person that differs from the original's is refused: a Form 4/A is filed for the person the original was filed for.
• The original must have been filed with the SEC: a report that was only accepted on EDGAR's test system cannot be amended, and a Form 3, 4 or 5 must be filed before its amendment starts.
• Ownership amendments transmit with EDGAR types 3/A, 4/A, or 5/A and carry the original submission date; when the original is not on the platform, you enter its EDGAR filing date at intake.

Deadlines and sign-offs

A Form 3/A, 4/A or 5/A carries the original form's due date.

A refiling takes the same sign-offs as the original, bound to its own document: counsel signs off again and the reporting person signs again. The original's sign-offs stay on the amendment's workspace as history.