Forms 3921 and 3922 - IRC 6039 Reporting Providers - List yourselves!

Hi everyone,

As most of you are aware, the IRS has finalized is filing new requirements for ISOs (IRC 422) and ESPP (IRC 423). The new forms must be sent by Jan 31, 2011.

Some of the outsourcing firms will be ready for this filing.  Some of the stock administration system will be ready.  Several of the boutique/specialty firms have also built solutions.

If you have a solution post your information here.  Please try to provide enough information that ECE members can make an intelligent decision whether to contact you.  You are encouraged to put links to you web site, demos, whitepapers, presentations and info-sheets within your posting.

If you need a solution (if don't already have need one) take a look at this discussion over the next week.  I am sure that most of the providers will have posted something by Thanksgiving or sooner.  If you have questions about this topic, please ask them here.  I know they will be answered quickly.

All the best,

Dan Walter
ECE Founder

President and CEO

Replies to this Topic

My Equity Comp offers a secure, full-service outsourced solution for filing your 6039 employee statements (Forms 3921 and 3922) and IRS filing.  All you need to do is provide the raw data required on the forms and My Equity Comp will do the rest for you. 

  • Working with companies since July 2010 (first company to have a solution on the market)
  • Files exchanged back and forth via a secure/encrypted document exchange process.
  • Create Forms 3921 and 3922 for your employees. My Equity Comp will create actual forms or consolidated substitute forms, client's choice.
  • Provide client with file with all forms on it for future reference. Client will be able to reprint forms as needed and have available for audit purposes.
  • Client can print and mail the employee forms themselves or if desired, My Equity Comp can mail out the forms directly to the employees.
  • Will provide an employee communication that can be included in the mailing.
  • Create the electronic IRS file per their file requirements and transmit to the IRS on behalf of client. File will also be presented to client for their future reference.

Call (888-837-2667) or email ( for further information and to schedule a quick Webex presentation outlining exactly how My Equity Comp's solution works.

Profile Image for Jeff O. Jeff
  • Fri, Nov 19, 2010 12:04 PM

OptionEase ( is leading the evolution of SaaS-delivered equity compliance applications for plan administration, valuation and comprehensive financial disclosure reporting. The Company’s ability to rapidly develop and deploy solutions in an ever changing regulatory environment provides clients with the most advanced tools in the industry.

OptionEase is proud to offer a fully integrated forms module for IRC Section 6039, an newly enacted annual reporting requirement for certain ISO and ESPP transactions utilizing forms 3921 and 3922. The application prepares FIRE compliant output for direct electronic filing in addition to traditional paper-filing. OptionEase provides administrators with the ability to manage the entire compliance process for 6039 such as; employee opt-in surveys and tracking, email notifications for participants, hash control on social security numbers (visible only on output file) and connectivity to outsourced fulfillment services.

OptionEase’s vertical integration allows for increased control and superior management of all equity compensation matters, serving as a complete solution rather than a compliance patch for the new regulations. The Company SAS 70 Level II certified products are standardizing compliance and enabling secure collaboration across multiple constituents.

For additional information call Toll Free (866)550-EASE (3273)or chat with us on our site(

Our consultants with extensive Big-4 tax consulting experience are available to provide practical advice and expert guidance regarding your Form 3921 and Form 3922 obligations.  We offer end-to-end management of the production, mailing, and filing of all requisite Form 3921/3922 for your US employees who exercise ISOs and/or participate in your ESPP in 2010 ("Affected Participants").

Full Service = Peace of Mind.

  • Analyze the detailed instructions concerning Forms 3921 and 3922, examine related IRS Publications as they are released, and inform our clients as to the administrative steps necessary to comply.
  • Evaluate our clients' stock plan service provider's 6039 solutions, identifying any shortcomings and providing a recommended approach to mitigate such gaps.
  • Prepare individualized IRS Form 3921 and/or 3922 utilizing data provided by our client or its agent.
  • Manage the production and mailing of IRS Form 3921 and/or 3922 to all Affected Participants by the IRS deadline.
  • Manage the filing of Form 3921 and/or 3922 for all Affected Participants no later than the IRS filing deadlines utilizing the requisite filing method (including e-filing).
  • Provide a generic Participant FAQ that the Company can use to inform their employees about the Form 3922.


 Straight-forward, "All-Inclusive" Pricing.*



One Return Type

(Form 3921 OR 3922)

Two Return Types

(Forms 3921 AND 3922)

Advisory/coordination charge



Form handling charge**

¨ Per first form for each participant

¨ Per additional form for each participant








* Additional discount is available for E*TRADE customers.  Please contact us for details.

** Our form handling charge includes printing, mailing, and e-filing of the requisite forms.  If you have more than 5,000 forms, or your unique circumstance does not warrant a full service 6039 solution, please contact us for a customized fee quote.    

What our clients are saying:

"We found them to be very knowledgeable and the most fairly priced."

"We decided to work with ISP Advisors instead of our broker/outsourcing vendor because their all-inclusive fee was less than half of what our broker quoted."

"We hired ISP Advisors because they offered a true full service solution, including free guidance from former Big-4 tax consultants."

"We don't have time to figure out the new rules, research which e-filing software is the best for us, and learn how to use it.  We decided to outsource all of it to ISP Advisors."

To obtain a firm fee quote, please email us:

Or visit our website:

Solium Transcentive pioneered the industry by introducing the first software to manage employee equity plans. Our 33 years of experience, combined with feedback from thousands of clients, positions us to provide not only the best software in the industry but also a full line of advisory solutions. The Express Equity Suite of applications gives companies the flexibility to administer their plans in-house, fully or partially with a third-party.  

For Section 6039 reporting, Solium Transcentive users have two solutions available to choose from.  Our first solution is a self-service model.  The Express Options and Express Stock Purchase applications have new reports available, at no additional cost, that will allow a company to create consolidated substitute statements for Form 3921 (Options) and Form 3922 (ESPP) requirements.  In addition, new extracts are available that will allow a company to export the key data elements they need to transmit to a third-party for filing or outsourced communications.  Alternatively, if a Solium Transcentive user is interested in either an outsourcing service for their 6039 needs or the ability to file their forms with the IRS; we have services available through our preferred partners to service these needs.  Contact our Professional Services team at for more information. 

FRS Equity Strategies has a we-do-it-all solution for Sec 6039 compliance! 

The "FRS 3921-22 EXPRESS" is a web-based solution to automatically merge your software reports onto pre-programmed IRS Forms 3921 and 3922 and pre-programmed electronic formats that allow FRS to easily e-file to the IRS and send out compliant statements to your employees.

 Major points:

FRS will file the Forms 3921 and 3922 electronically to the IRS for you!

  • FRS will accept contracts for e-filing through Feb 28.

FRS will mail the Substitute Forms to the Employee! 

  • FRS will accept contracts for Employee Mailing through Jan 21.

Full audit process and Company approvals every step of the way!

No need for the IT Dept.

All you do is run a few reports for us!  Leave the headache to us!  We can do every step of the process for you.

About Us

FRS Equity Strategies, a full-service outsourcing, staffing, consulting and corporate training corporation. 

FRS (previously know as FatRabbit Services) is a privately-held corporation established in 2000.  Our motto is Compliance, Accuracy and Customer Service!  Our primary business is ensuring that companies stay compliant under the many regulations and laws that govern equity compensation.   Our staff of certified equity professionals (CEPs) and accountants will hand-hold your company in the administration and management of your employee equity benefit plans.  We have all been practitioners so we know what you need!    


For any public or private company: $250 set-up fee, $0.75 / form, min $500 per company for the IRS electronic filing.

  • Discounts available for high number of transactions.
  • Discounts for EASi, Equity Edge and CAPMx clients.
  • Mailing service for the employee forms at a low cost - $1 per envelope.

Contact Marianne Brannock-Hill, CTP CEP, President, or Laura Shows,  Marketing Administrator, at 408-727-0227 for a quote.

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