Form ID

Form ID is the application that is submitted to the Securities and Exchange Commission (SEC) EDGAR system to request access codes in order to be able to file on that same EDGAR system, either as an individual or company. Individuals need access codes so that they can file their Form 3's, Form 4's and 5's for securities holdings requirements.

Once approved, the EDGAR system will provide you with four codes:

  1. Central Index Key (CIK): The CIK uniquely identifies each filer, filing agent, and training agent. The SEC assigns the CIK at the time you make an initial application. You may not change this code. The CIK is a public number, and becomes your main identifying number on the SEC system.
  2. CIK Confirmation Code (CCC): You will use the CCC in the header of your filings (EDGAR submission template) in conjunction with your CIK to ensure that you authorized the filing. This is not a public number and has to be kept private, but has to be shared with the filing agent for filings.
  3. Password (PW): The PW allows you to log onto the EDGAR system, submit filings, and change your CCC.
  4. Password Modification Authorization Code (PMAC): The PMAC allows you to change your password.

There is a fifth code, that generated as part of the submission, and that is the Passphrase.

For filing purposes, only the CIK and CCC codes are needed.

The FORM ID process requires a notarized signature from the person applying (either an individual securities holder or individual acting on behalf of the company), and after that signature is submitted, it can take a few days for the codes to be generated by the EDGAR system.

If the applicant is a corporation, partnership, trust or other entity, state the capacity in which the representative individual, who must be duly authorized, signs the Form on behalf of the applicant.