IRC 6039 Reporting

Background of IRC 6039

Beginning in 2010, the IRS adopted regulations under Section 6039 of the Internal Revenue Code requiring 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). Forms must be mailed by January 31st of each year and electronically filed with the IRS by March 31st.

The SPS/GZ Difference!

SPS/GZ provides true full-service IRC 6039 tax form reporting solutions to clients. Our solution includes a diagnostic review process, whereby information on forms are compared against SEC filings and other data sources for consistency and accuracy. Every year our processes help our clients from filing incorrect information.

Benefits of the SPS/GZ IRC 6039 Offering

We are the only IRC 6039 solution that includes an interactive corrections portal for clients, whereby clients can make online corrections to forms after they have been mailed and/or filed. All edits are tracked automatically in the system, and amendments are filed with the IRS without any further action required by the client. All IRC 6039 forms and source files are accessible 24/7 in an archived database for 7 years, reducing clutter for clients and freeing up storage space. This also allows clients to easily amend forms from prior years and provides an instant audit trail.

SPS/GZ is proud to provide tax reporting services to hundreds of clients throughout the U.S.
  • Comprehensive review process by CEPs and CPAs
  • Assistance with extraction of data from stock plan systems
  • Creation of Forms 3921 and 3922
  • Proprietary Q&A memo insert included
  • Complimentary TIN-Matching services
  • Identification of potential errors, reducing exposure for penalties
  • Three-pronged quality control process before mailing to ensure data security
  • Printing and mailing of forms via First Class Mail
  • All proprietary features of the spsgzXchange™ portal

Contact us to learn how SPS/GZ can be your company’s trusted partner for stock plan administration and tax form reporting services.