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File a Form 11-K

Prepare the annual report for an employee benefit plan holding company stock, complete auditor review, obtain counsel sign-off, and file through EDGAR.

Who files Form 11-K

A company may owe Form 11-K for an employee stock purchase plan or 401(k) plan that holds company stock and is subject to the Exchange Act reporting requirement.

Note

Confirm which plans must file with company counsel and the plan administrator.

Deadlines

Form 11-K is generally due 90 calendar days after the plan year end. A plan subject to ERISA may use the 180-calendar-day deadline. TakePublic tracks the applicable due date in ET.

Audited plan financials

The filing requires audited plan financial statements. It must pass auditor review in TakePublic before it can move to counsel review.

  1. Open Filings and create a Form 11-K for the plan year.
  2. Enter the plan details and confirm whether the ERISA deadline applies.
  3. Attach the audited plan financial statements and auditor report.
  4. Complete internal review, then send the filing to auditor review.
  5. After the auditor clears it, send it to counsel review for sign-off.

File through EDGAR

After counsel signs the exact document, a company admin can submit with verified EDGAR credentials. EDGAR acceptance satisfies the linked 11-K calendar deadline.

Official sources

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How a filing moves to filed

The filing state machine from draft through counsel sign-off to EDGAR acceptance.

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TakePublic is a technology platform, not a law firm, broker-dealer, or auditor. Nothing files without review and sign-off by a licensed securities attorney.