| “True” Filing Agent ¹
| Primary Software Used For Filings |
Filings | Since 1992 |
# | Filings Ratio... For Others : For Themself ² — SEC CIK ³ |
2023 |
2022 |
2021 |
2020 |
2019 |
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|
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|   |
1 | | Donnelley Financial Solutions — All : 0 — 1193125 | DFIN XBRL | 29,283 | 59,350 | 69,013 | 62,491 | 62,972 | 1,316,749 |
2 | | Toppan Merrill — 100+ : 1 — 1104659 | GoFiler Complete | 26,387 | 49,723 | 58,509 | 53,350 | 27,948 | 641,522 |
3 | | Donnelley Financial Solutions File16 — All : 0 — 1209191 | EDGARfilings PROfile | 21,165 | 38,354 | 43,882 | 40,050 | 38,303 | 802,009 |
4 | | EdgarAgents LLC — All : 0 — 1213900 | GoFiler Complete | 17,762 | 32,043 | 27,725 | 19,260 | 10,823 | 149,860 |
5 | | Confluence Technologies Inc. — All : 0 — 1752724 | ArcReporting | 16,822 | 38,886 | 37,772 | 37,689 | 15,554 | 147,163 |
6 | | Computershare Inc — 100+ : 1 — 1127602 | — | 9,611 | 15,360 | 17,280 | 17,245 | 19,951 | 279,986 |
7 | | Broadridge Financial Solutions, Inc. — 100+ : 1 — 1140361 | Broadridge PROfile | 9,129 | 14,922 | 14,029 | 10,576 | 8,189 | 349,682 |
8 | | Filing Agent 1493152 — All : 0 — 1493152 | GoFiler Complete | 8,829 | 17,085 | 15,297 | 11,294 | 9,037 | 87,990 |
9 | | Davis Polk & Wardwell LLP 01 — All : 0 — 950103 | GoFiler Complete | 8,337 | 21,440 | 20,144 | 24,834 | 18,014 | 199,029 |
10 | | Donnelley Financial Solutions — All : 0 — 950170 | New ActiveDisclosure | 7,648 | 7,386 | 1,360 | 14 | – | 21,390 |
11 | | Quality Edgar – QES — All : 0 — 1839882 | QES | 7,061 | 14,638 | 9,795 | – | – | 31,494 |
12 | | Newsfile Corp. — All : 0 — 1062993 | INTEGIX | 6,208 | 11,678 | 6,486 | 3,089 | 2,268 | 67,489 |
13 | | DFIN Solutions FundSuiteArc — All : 0 — 1145549 | ArcReporting | 6,125 | 13,862 | 13,599 | 13,412 | 5,925 | 95,213 |
14 | | Workiva Inc. Wdesk FA01 — All : 0 — 1628280 | Wdesk | 5,985 | 9,654 | 7,504 | 5,629 | 4,950 | 51,959 |
15 | | RDG Filings — All : 0 — 1437749 | Thunderdome Portal | 5,695 | 10,164 | 10,075 | 9,181 | 8,716 | 103,174 |
16 | | SEC Connect — 100+ : 1 — 1415889 | — | 4,917 | 6,885 | 3,176 | 1,563 | 803 | 27,269 |
17 | | Donnelley Financial Solutions 06 — 100+ : 1 — 899243 | — | 4,781 | 12,937 | 16,376 | 11,363 | 9,586 | 94,713 |
18 | | Rahman Ahmad — All : 0 — 1481057 | — | 3,997 | 4,902 | 6,825 | 720 | 111 | 16,555 |
19 | | CT’s hCue — All : 0 — 1225208 | — | 3,827 | 7,506 | 8,608 | 8,470 | 9,000 | 198,534 |
20 | | Solium Capital Inc. — 100+ : 1 — 1562180 | — | 3,646 | 6,173 | 5,924 | 5,514 | 4,567 | 34,645 |
21 | | Securex Filings — All : 0 — 1214659 | GoFiler Complete | 3,576 | 6,919 | 6,464 | 5,235 | 3,964 | 60,768 |
22 | | Computershare Trust Co. NA/CCT — All : 0 — 1888524 | SEC Publisher | 3,528 | 7,357 | 1,614 | – | – | 12,499 |
23 | | Broadridge Financial Solutions, Inc. — All : 0 — 1567619 | Broadridge PROfile | 3,492 | 12,290 | 12,561 | 11,973 | 12,931 | 60,612 |
24 | | ActiveDisclosure — All : 0 — 1564590 | NG Converter | 3,247 | 14,681 | 19,800 | 18,267 | 14,256 | 93,878 |
25 | | Blueprint — All : 0 — 1654954 | Blueprint | 2,727 | 6,116 | 5,778 | 6,025 | 6,196 | 39,729 |
| — 21 Filing Agents — 4 Registrants — |
|
Most-Active “True” Filing Agents: | 489 | 533 | 582 | 581 | 605 |
Total “True” Filing Agents: | 4,011 | 3,930 | 3,838 | 3,738 | 3,665 |
________ | ¹ | A “filing agent” (in non-bold lower case herein) in SEC terminology is the entity submitting a Filing, i.e., the party who is logged into the SEC’s EDGAR system when it is submitted, and is identified by the CIK³ they used to login to EDGAR. They are either (1) an SEC-registered Filing Agent (in bold Initial Caps herein), or (2) a Registrant (in non-bold names above) who has self-filed a Filing as the Filer/Issuer or is submitting one for an affiliate, or (3) the SEC itself. A registered Filing Agent is in the business of submitting Filings for other Registrants, so we call them a “true” Filing Agent (bold Initial Caps) to distinguish them from the filing agent (non-bold lower case) who submitted the Filing. You cannot tell whether a filing agent’s CIK³ is that of a Filing Agent or a Registrant Filer/Issuer, because Registrants may be (or own) Filing Agents (e.g., Donnelley Financial Solutions) or submit Filings for their directors/officers, and Filing Agents may be Registrants for other business purposes (e.g., some Transfer Agents). A Filing is self-filed only when the Filer/Issuer is logged into EDGAR with their CIK³ and is filing their own Filing, whether or not they are using an SEC website or filing software from a Filing Agent or another vendor. If a Filer/Issuer is logged into a Filing Agent’s site when submitting a Filing, the Filing Agent is the filing agent. Regardless of whether or not a Filing Agent’s site allows Registrant clients to “sign off” on Filings or submit them from there, the Filing Agent is still the filing agent and the Filing is not self-filed. Further complicating this, some “parents” submit Filings for their subsidiaries, Funds/ETFs or ABSs, and various Money Managers submit Filings for other related Money Managers. Our algorithms reconcile all of this daily, and figure out who the “true” Filing Agents are. | ² | We determine which of the 300K+ historic filing agents are “true” Filing Agents, and of those 4K±, which are “pure” (90%) or not (10%), by comparing the CIK³ of each Filing’s filing agent with that of the Filer/Issuer for whom the Filing was filed. We consider a Registrant to be a “true” Filing Agent when they either have done Filings only for others or have done 32+ Filings for others for each Filing they did for themself as the Filer/Issuer. The “Filings Ratio” after each name above indicates if the filing agent is a “pure” Filing Agent (shown as “All : 0” when all of their Filings have been for other Registrants) or the ratio of Filings for others versus for themself as a Registrant (e.g., “100+ : 1”). Not all Filing Agents are identified by name above; some are paying us to remain “anonymous” for competitive reasons, mostly to protect their client lists from poaching by other Filing Agents (see the Services We Offer below). | ³ | To submit Filings, an entity must first register with the SEC to receive its 10-digit Central Index Key (“CIK”). When a Filing is submitted, the CIK of the filing agent¹ is used, and it may differ from that of the Filer/Issuer legally required to make the Filing. The submitting filing agent may be a “true” Filing Agent or a Registrant who is self-filing or filing for a related Registrant. The filing agent’s CIK shows up as the first part of each Filing’s identifying SEC Accession Number, which is in CIK-Year-Submission# format (e.g., SEC # 0001193125-23-029283). |
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