6039 Reporting

Get Compliant, Stay Compliant

United States > Business > Employee Equity Plans > 6039 reporting

Streamline your ye​ar-end reporting process, lessen your administrative burden

Section 6039 reporting can be a complicated process. You 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 requires it, and failure to do so can have serious consequences. 

That’s a lot of paperw​ork, a lot of data, a lot of potential for errors, and a whole lot of pressure on you to make sure it's all done right.

Let us help.
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​Contact Us​​​​​​​​

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 What exactly is Section 6039 all about?​​

​Section 6039 of the Internal Revenue Code 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 vs. capital gain/loss reporting. Every corporation — every corporation — is required to provide this informational reporting to their participants no later than January 31st of the following year of the purchase or exercise transaction.​​



 Our 6039 Reporting Solution
We have put together a comprehensive system to manage your 6039 Reporting obligations. Once you provide us the necessary data, we handle the entire process for you, freeing you to focus on other priorities.

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Upload Data

We provide you an easy-to-follow layout for formatting your data in Excel. Once prepared, you provide us the file through our secure file transfer server.

File Forms

We file Forms 3921 and/or 3922 with the IRS on your behalf.

Prepare Data

We prepare the data necessary to complete your required participant statements and IRS filings.

Support Participants

Our highly-trained customer service representatives are available to answer your employees’ questions.

Prepare Forms

We create consolidated Form 3921 and/or 3922 for transactions in your qualified plans, minimizing costs and streamlining participant communications.

 Need help preparing your data file?

Before we can start, we need your data, and we need it in a certain format. We do this in order to avoid errors with the data on our side. But collecting all that data and putting it into the proper format can provide challenges all its own. ​Not to worry. ​​Our professional services group can help. We have a three-step process to help you get your data ready to go.​

  • Step 1: Collect
    Our team collects the data files together from your payroll department in whatever format you use, even if your data is in multiple formats from multiple payrolls across multiple subsidiaries and offices.
  • Step 2: Reconcile
    We validate and reconcile each file, working with you to collect any missing data. We’ll even directly contact the different subsidiaries and offices to help save you time.
  • Step 3: Convert
    We convert all files into the necessary format for our team to start the 6039 Reporting process.
 

​Ready to get started?

​By partnering with us for your Section 6039 reporting and filing, you’ll not only minimize risk associated with non-compliance and inhouse administration but also increase the accuracy of reporting.

Talk to your relationship manager or fill out the form  below to request a proposal.​​​