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SEC Filing Codes

An insider who wishes to file information with the SEC must first have SEC filing codes.  These are unique pass codes assigned to each individual who is submitting a report.  There are four codes, which are as follows:

• Central index key (CIK).  This is a unique, public number that is assigned to each person or entity that submits files to the SEC.
• Password.  This is a confidential code used to ensure that whoever is sending a submission is authorized to do so.  The restrictions on the code are the same as those just noted for the CIK confirmation code.
• CIK confirmation code (CCC).  This is a code used in combination with the CIK to submit a filing to the SEC.  It is eight characters having at least one number and at least one special character.  It is case-sensitive and must be entered in lower case.
• PMAC.  This is a confidential code used to authorize a change of password.  The restrictions on the code are the same as those just noted for the CIK confirmation code.

To obtain these codes, a person must enter his last name, first name, middle initial, address, phone number, and e-mail address on a Form ID, sign and date the form, and have it notarized.  Then fax the form to the SEC at 202-504-2474.

The SEC will process the form and send back filing codes similar to the following:

A person can also access the SEC’s Filer Management web site to update any of his personal information or to change passwords.  That web site is located at www.filermanagement.edgarfiling.sec.gov.

Related Topics

Form S-1
Form S-8
Insider securities reporting
Proxy solicitations
The shelf registration