Section 16 compliance without the spreadsheet.
Built for corporate secretaries and deputy general counsel at SEC-reporting companies. Form 4 deadlines tracked in business days, 10b5-1 plans under the 2023 amendments, 16(b) short-swing scanning on every transaction, and the audit trail to back it up.
What we replaced
The compliance math you don't want to do by hand
2
Two business days to file a Form 4
Track it on a spreadsheet, miss a holiday, miss a deadline. Late filings are publicly disclosed.
90
Ninety days of 10b5-1 cooling-off
Officer/director rules, 10-Q gating, 120-day caps. Easy to compute wrong, expensive to compute wrong.
6
Six months of 16(b) lookback
Lowest purchase matched against highest sale. Nobody pencils that out by hand each quarter.
What's in the box
The whole Section 16 calendar, one place.
Every feature below ships in the product today. No roadmap promises in the marketing copy.
Form 4 deadlines, tracked in business days
Every transaction gets a deadline computed off a federal-holiday-aware business-day calendar — the same arithmetic the SEC enforces. The dashboard surfaces overdue and due-today items above the fold so nothing falls between the cracks.
Form 3, 4, and 5 drafting with EDGAR-ready XML
Draft from inside the app, review, and export the X0306 ownership XML for upload through EDGAR. Generation covers non-derivative and derivative tables, exempt-from-Section-16 flags, and amendments.
Trading windows and pre-clearance, in one workflow
Quarter-by-quarter windows compute open/closed from your fiscal calendar. Pre-clearance requests come in via a shareable link, auto-block when the window is closed, and notify the insider on decision.
10b5-1 plan lifecycle with 2023-rule cooling-off math
Adopt, modify, and terminate plans with the post-2023 cooling-off period computed automatically (officer/director vs. other; 90/120-day caps). Disclosure-checklist text for the next 10-Q / 10-K is generated on demand.
Section 16(b) short-swing scanning, every transaction
The Smolowe matcher runs on every new transaction — lowest purchase against highest sale within six months. Flagged pairs land in a review queue with an AI-drafted analysis memo for counsel, not for filing.
Append-only audit log and board-ready compliance PDF
Every create, update, and delete is captured with who, when, and field-level before/after — write-only, never edited. Export a compliance report PDF covering filings, plans, windows, and 16(b) exposure for the audit committee.
Pricing
Priced by active insider count.
All tiers include unlimited filings, unlimited 10b5-1 plans, unlimited audit-log retention, and the compliance report PDF. Tier sets the per-month price and the number of active insiders we'll surface deadlines for.
Starter
$1,000/ month
Up to 10 insiders
- Form 3/4/5 drafting
- Deadline tracking
- Trading windows + pre-clearance
- 16(b) scanning
Most popular
Growth
$1,750/ month
Up to 25 insiders
- Everything in Starter
- 10b5-1 plan lifecycle
- Disclosure-checklist generator
- AI-drafted 16(b) review memos
Enterprise
$2,500/ month
Unlimited insiders
- Everything in Growth
- Compliance PDF for audit committee
- Append-only audit log export
- Priority support
Honest positioning
What this product does — and does not — do.
- Forms generate as EDGAR-ready XML for manual upload. Direct submission to EDGAR is on the roadmap and requires filing-agent registration; we do not auto-file today.
- AI-drafted 16(b) memos are drafts for counsel. Smolowe matching is deterministic; the analysis narrative isn't. Counsel reviews and signs.
- Compliance figures are calculations, not opinions. Deadlines, cooling-off ends, 16(b) profit pairs — these are deterministic math. Any AI-generated text on top of them is labelled as such.