SEC reporting workpaper templates for Excel
Templates 01 and 03–06 run the filing. Templates 02 and 07–09 are workpapers built on one common framework, so a reviewer learns the layout once. All share the one-cell roll-forward Setup tab, yellow input cells, grey formula cells, dropdowns and red/amber/green flags. Working tabs are protected without a password, so formulas are hard to overwrite but inputs stay editable, and every tab is set up to print. No macros.
Close-to-File Filing Calendar
Turns one period-end date and your Rule 12b-2 filer status into the right report (10-K or 10-Q), the holiday-adjusted statutory due date, and a dated close-to-file milestone timeline.
Details and previews →WP: Account / Footnote Support
The general workpaper for any balance-sheet account or footnote without a purpose-built workbook: detail support with a source, source type and tickmark for every number, a rollforward, and a TB → face of FS → footnote → MD&A bridge with control checks.
Details and previews →Disclosure Checklist Delta Tracker
Captures what changed since the last filing – new ASUs, SEC final and proposed rules, staff guidance, PCAOB items and comment-letter commitments – with applicability, owner, due date and status.
Details and previews →8-K Trigger Assessment Log
One running log of every event that might require a Form 8-K: the conclusion (file, furnish, not required, monitoring), the four-business-day default deadline with an override for items on a different clock, and whether it was filed on time.
Details and previews →Comment Letter Response Tracker
Runs an SEC staff comment letter from receipt to review-complete: an owner and draft due date for every comment, future-filing commitments in plain words, and the estimated earliest EDGAR release date.
Details and previews →Review & Workpaper Sign-off
One answer to "is this filing ready?": a Dashboard that rolls up a Matrix showing which reviewers have signed off on each section of the 10-K or 10-Q and a Workpaper QC tab that checks each workpaper against ten quality checks and its summary conclusion.
Details and previews →WP: Statement of Cash Flows
Builds and proves the indirect-method statement of cash flows: every balance-sheet change is explained by cash-flow lines or documented non-cash items, and cash plus restricted cash ties to the balance sheet.
Details and previews →WP: Stockholders' Equity Rollforward
Rolls forward each equity component – shares, common stock & APIC, retained earnings, AOCI by component, treasury stock and noncontrolling interests – by quarter, so 10-Q interim subtotals are ready, and ties the result to the rest of the filing.
Details and previews →WP: Non-GAAP Reconciliation
One place for every non-GAAP measure used in the earnings release and the filing: the reconciliation to the most directly comparable GAAP measure, ties to both documents, and Regulation G / Item 10(e) / C&DI prompts.
Details and previews →The common workpaper framework (02, 07, 08, 09)
- Setup (company, period end, FYE month, WP ref, materiality and variance thresholds in $ and %, rounding tolerance, version, status)
- Summary & Tie-out: preparer and reviewer in the header, key amounts vs. the right comparative date, variance flags that read EXPLAIN until explained (marked material at or above materiality), tie to the filing draft, and a SUPPORTED / NOT READY conclusion
- Judgments (each with a memo / WP ref)
- Completeness & Controls: completeness procedures, management-review-control evidence, optional labelled automation hooks
- Open Items
- Sign-offs & Refs: preparer/reviewer dates, cross-references to the footnote, MD&A and disclosure checklist, and a version log
- Tickmarks: legend and colour key (input, formula, external pull, auto-populated – verify)