Need help If you have questions about reporting on Form 3921 call the information reporting customer service site toll free at 866-455-7438 or 304-263-8700 not toll free. For the latest information about developments related to Form 3921 and its instructions such as legislation enacted after they were published go to Copy C For Corporation This copy should be retained by the stock has been transferred under Copy D For Transferor To complete Form 3921 use the current General Instructions for...
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Who has to file IRS Form 3921?

Form 3921 is the US Internal Revenue Service form, officially called the Exercise of an Incentive Stock Option Under Section 422(b). The form is designed to be used by any corporation that transfers to any person a share of stock pursuant to the transferee's exercise of an incentive stock option as described in section 422(b) and is applicable to the calendar year during which the transfer was made.

What is the purpose of Form 3921?

The IRS 3921 form serves as an information statement furnishing employees with the details of incentive stock options that were exercised during the year.

Is Form 3921 accompanied by any other forms?

The submission of the completed Form 3921 to the employee does not necessitate attaching any accompanying forms or documents.

When is the Exercise of an Incentive Stock Option form due?

The employer should provide the exercising employees with the 3921 Form by or on February 1. The same form should be directed to the IRS local office by the end of February for the previous calendar year.

How do I fill out the 3921 Form?

To be properly completed, the form must include the following details:

  • Information about the Transferor (name and address)
  • Transferor's federal identification number
  • Information about the Employee (name, address, account number)
  • Dates of options granting and exercising
  • Exercise price per share
  • Number of transferred shares
  • Fair market value of a share
  • Data about the corporation whose stock is transferred (if other than the Transferor)

What should be done with all four copies of the 3921 Form?

There are detailed instructions about where to submit the four copies (A, B, C and D) on each corresponding page of the document.

Video instructions and help with filling out and completing form 3921
Instructions and Help about form 3921 reporting

Alright welcome again everyone thank you again for joining us today I am Lauren Skinner with convey compliance and joining me today is John Adams product manager was convey today John's going to provide you with some information on how to comply with new information reporting requirements for incentive stock options and employee stock purchase plans also known as formed 3921 and 3922 John will walk you through who needs to file these forms what these new forms are used for and provide tips and tricks for completing these forms at the end we're going to open it up for questions and answers another note is before we begin I'd like to let you know that if at any time during the presentation you'd like to submit a question please type it in the questions box again on the panel of the right hand side of your screen please note that other participants cannot see your questions and our presenters will review all the questions and respond during the Q&A sessions at the end of the presentation now to get started we are going to offer a polling question the question is which employee stock program does your company offer incentive staff options employee stock purchase plans both or neither I'll give you a minute to respond great thank you and while I'm calculating the results I'm excited to announce that we have set a date for next year's sea to summit the 2011 sea to summit will be at the Omni Shoreham Hotel in Washington DC September 28 through the 30th conveys complain connect sea to summit is a live information reporting seminar with two and a half days of regulatory compliance and convey solutions sessions please mark your calendar and feel free to update or visit our sea to summit activate calm for more information at this time I'd like to turn the presentation over to done Thank You Lauren and good afternoon everybody and welcome to our presentation for this afternoon forms 3921 and 3922 we're going to talk about the ABCs of incentive stock options and employee stock purchase plans just real quick on the pole based on how you all responded this afternoon 12 over half of you that are either offering an instead of an incentive stock option plan or an employee stock purchase plan or both there's a handful of you that responded that your company is not offering either one from that I can only infer that maybe your maybe your organization is planning on it or you're just simply trying to determine what are the rules and requirements around filing these forms and to that extent I'm sure we'll be able to answer that for you in today's webinar so the little bit of information on the the origin and the historical timeline that led up to forms 3921 and 3922 the tax relief and health care act of 2006 amended the information reporting requirements of the Internal Revenue Code section 60 39 by imposing an additional requirement that employers also file an annual information return with the IRS with respect to the exercise of incentive stock options the...