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Everything you need to manage your equity plans, smarter
Streamline your year-end reporting process
Section 6039 Reporting can be a complicated process. The Internal Revenue Code’s Section 6039 requires companies to provide annual informational reporting to participants who have received or transferred stock in conjunction with either a 423(b) qualified employee stock purchase plan or an incentive stock option plan.
The reporting is intended to assist participants in filing tax returns which might be complicated due to ordinary income versus capital gain/loss reporting. Every corporation is required to provide this informational reporting to their participants no later than January 31 of the year following the purchase or exercise transaction.
What does 6039 Reporting mean for your company?
Contact UsYou have to provide transaction statements for employees who have acquired stock through a 423(b) qualified Employee Stock Purchase Plan (ESPP) or exercised an incentive stock option (ISO).
You have to file Form 3921 for each ISO exercise.
You have to file Form 3922 for each ESPP transaction.
And you MUST do it. The Internal Revenue Service (IRS) requires it, and failure to do so can have serious consequences. That’s a lot of paperwork, a lot of data, a lot of potential for errors. And yes, a whole lot of pressure on you to make sure it's all done right. Let us help.
Our 6039 Reporting solution simplifies the process
To help you manage your 6039 Reporting obligations we have developed a comprehensive solution. Once you provide the necessary data, we handle the entire process for you, freeing you up to focus on other priorities.
Upload data
Use the easy-to-follow layout for formatting your data in Excel. Once prepared, send us the file through our secure file transfer server.
Prepare data
We prepare the data necessary to complete your required participant statements and IRS filings.
Prepare forms
We create consolidated Form 3921 and/or 3922 for transactions in your qualified plans, minimizing costs and streamlining participant communications.
File forms
We file Forms 3921 and/or 3922 with the IRS on your behalf.
Support for your participants
We provide solutions that help motivate employees, increasing engagement and performance. If your employees have questions, our highly trained customer service representatives are available with the answers.