Review the Filing Landing Page

When you click the waffle icon on the top left of Certent 365 and select SEC Filing Wizard, you open the filing landing page, which presents an overview of CDM projects for which packages have been made and filings that, to date, have been submitted to the SEC. From the page, you can choose a submission package to file.

Projects Section

The Projects section displays projects for which filing submission packages have been created in CDM and are subsequently available for filing, detailed by name, form type, description, last modified date, proposed filing date, and workflow status.

For projects that are not listed, use the search box or click Show More. If the project is not shown, verify that the submission package has been created in CDM.

You can either click on a project in the list and then click above the search box, or click on the ellipsis menu of the project and select File to start filing, which will move you to the Forms page of the Filing Wizard.

SEC EDGAR Status

You can view the current SEC EDGAR filing status (see EDGAR Hours of Operation) on the top right corner of the landing page, and hover over the status for additional information. The status also displays on each page of the Filing Wizard.

The status may show as:

• Good to go
  The SEC EDGAR site is available for test and live submissions.
• File with caution
  The SEC EDGAR site is available for test and live submissions, however the official filing date of a live submission will be the next business day because it is after 5:30 PM ET. The filing will not be posted on the EDGAR website until the next business day.
• Offline
  The SEC EDGAR site is unavailable for test and live submissions.

Filing Records Section

This section displays all filings in progress or completed to date, listed by name, accession number, form type, filing type, status, filer, and filing date, year, and time.

For each filing shown, click on the ellipsis menu to:

• Open
  Opens the Filer Details page of the Filing Wizard, where you can proceed to validation and submission.
• Download Files
  Downloads the filing files locally, including any corresponding submission results.
• Delete
  Deletes the filing record and removes it from the Filing Records list.

You can switch to the Published tab to view all filings that have been published on EDGAR. The Filter icon in the upper right of the section allows you to filter by Filing Type (Test or Live) and date range.