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Forms 3, 4, and 5
Record each transaction and send your filing agent a reviewed draft, so every deadline is explained and every balance reconciled.
Trusted by the world's leading companies
Know who reports, what they hold, and when each Form is due.
Each answer is recorded with its date.
Know which Form applies
Form 3, 4, or 5 is identified automatically from each person's roster designation and the type of transaction.
Learn more about the Section 16 persons roster
Track holdings by person and security
Track the reported balance per person, security, and ownership form. Opening holdings come from the Forms already filed on EDGAR, and every later change and reconciliation is kept.
See each deadline's rule
Each Form deadline is calculated on the federal or NYSE calendar and stored with the holiday it skipped. Every due date comes with its reason.
Learn more about deadlines and calendarSwitch it on. Report as it happens.
Add Section 16 to the roster you already keep, so nothing is set up twice.
Switch on reporting
Turn Section 16 on for any US or UK roster with one issuer setting. Switch it off to hide everything, including the Section 16 pages.
Import holdings
Import each person's last filed Form from EDGAR as SEC XML, then review the opening position against your own records before the first transaction.
Report each transaction
A cleared trade or a grants file becomes a reportable transaction with its Form and deadline, and your filing agent receives a reviewed draft.
In depth
Record each transaction through to the filed Form.
Evidence of every step is kept, so you answer any question with a report, not a search.
Review each change in holdings
When a Section 16 person confirms they made a cleared trade, they are asked to confirm the details.
Every row of your plan administrator's grants and vestings CSV is validated before it loads.
Indirect lines name the related person or entity, and derivative and award classes are securities in their own right for Table II of Form 4.
Review the Form and its deadline.
Each Form is identified from the person's role, the effective date, and the type of transaction.
Every deadline is calculated on the federal EDGAR or NYSE calendar and stored with its rule, its inputs, and the holidays skipped.
An authorized person can move a date with a reason, and both dates stay on the filing.
Send the draft and check the filed Form
You send a versioned draft Form to your filing agent once it passes validation and your reviewer's sign-off.
When the agent returns the accession number and balances, each is compared automatically with the recorded holdings. A mismatch is flagged and assigned to someone.
Each filed Form carries its Rule 16a-3(k) posting deadline and the date it can come down, 12 months later.
Show each director their own holding.
Each director sees their holding, open Forms, and deadlines in the portal, so nobody needs to email you for them.
A UK or European company listed in the US adds Section 16 to the roster it already keeps, and nothing on the UK side changes.
Export each person's report in date order to PDF or Excel.
Start from your last filed Form.
Opening positions come from the Forms already on EDGAR, and you review them against your records before the first transaction.
Import opening balances from EDGAR
Import each person's last filed Form 3, 4, or 5 as SEC XML and review it against your records. You start from what is already filed.
Upload people and broker accounts
Designations, effective dates, and broker accounts load through the roster's CSV template, and you can re-upload without creating duplicates. One list serves roster and reporting.
Learn more about the Section 16 persons roster
Load grants and vestings in bulk
Your plan administrator's grants and vestings load as transactions in the right class of security, and every row is validated. No retyping.
Learn more about automated rules and validation
Sign off the opening reconciliation
Sign off each opening position before the first transaction. Balances are never edited, so a difference becomes a correction entry with its reason and author.
What compliance teams say.
See how listed companies, advisers and funds run their insider trading programs with InsiderList.
InsiderList is efficient and straightforward. We’ve been able to automate our compliance tasks with ease, and the support has been consistently responsive and helpful.
Katie Thomson
Assistant Company Secretary
Domino’s Pizza Group Plc
We are delighted to once again provide a cutting-edge technological solution to address a significant challenge. JTC Insider [InsiderList] has the ability to transform the regulatory reporting process and free up valuable time and resources.
Adam Jeffries
Chief Information Officer
JTC plc
InsiderList has a simple and intuitive interface, which made it easy for our team to adapt quickly. Their client support has been exceptional, and we were able to start benefiting from its features almost immediately.
Emma Woolard
Company Secretary
Boohoo Group plc
InsiderList helps us manage complex regulatory compliance across the organization. It substantially reduces risk and provides specialist regulatory advice we trust.
Louise O'Sullivan
Company Secretarial Assistant
Computacenter plc
With InsiderList, we can quickly create lists, track acknowledgments, and effectively manage the deal clearance process. This has saved time and reduced the administrative workload. The platform is easy to use and the support has been great.
Christa Zillwood-Hunt
General Counsel
LendInvest plc
After conducting a thorough review, InsiderList stood out as the clear market leader. Their advanced technology platform, deep understanding of the regulatory landscape, and ability to integrate into our core products sets them apart.
Thera Prins
CEO
Equiniti Shareholder Services (UK)
Add Section 16 to your existing platform.
Section 16 adds records to the people, portal, and audit trail you have, not a second system beside them.
FAQs
Your questions, answered
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