IRC Section 6039 Compliance Services

The Internal Revenue Service (IRS) adopted regulations under Section 6039 of the Internal Revenue Code in 2010 that requires companies to provide participants with Form 3921 for all Incentive Stock Option (ISO) exercises and Form 3922 upon first transfer of legal title of shares acquired pursuant to an Employee Stock Purchase Plan (ESPP). In addition, companies are also required to file these same forms with the IRS.

Our IRC 6039 Solution:

SPS/GZ has developed an efficient and cost-effective solution to help your company complete its 6039 filings & mailings accurately and on time, and without incurring penalties.

SPS/GZ: IRC 6039 Compliance Services

  • Certified professionals (CPAs and CEPs) managing the filings and providing support
  • Highly secure (SSL technology) client interactive portal
  • Participant explanatory Q&A documents
  • Guidance on data to be extracted from stock plan administration systems
  • Compilation and formatting of data into a proprietary template>
  • Review of all data for missing fields
  • Preparation of Forms 3921 & 3922
  • Mailing of Forms to employees via USPS by January 31st
  • Assistance with correction of forms
  • Electronic transmission of Forms 3921 & 3922 with the IRS by March 31st
  • Confirmation of transmission for all Forms