What is 6039 Reporting?

In 2010, the Internal Revenue Service (IRS) adopted regulations under Section 6039 of the Internal Revenue Code.  These regulations require 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.

SOS 6039 Reporting Service

We all know time is a finite commodity, especially towards the end of the year when everything always seems to pile up. This year, let Stock & Option Solutions take care of your 6039 requirements.

We generate and mail participant statements and e-file with the IRS.  You work with a dedicated account manager who gets to know your company and make the process painless.  The entire process requires an average of just two hours of your time, we take care of the rest.  Two hours sounds pretty good, doesn't it?

Our line of 6039 solutions will simplify your life, save you time and reduce your company's risk. Every year over 150 companies have depended on SOS for their annual 6039 filings. We have generated and mailed close to 1 million participant statements making us the most experienced and trusted 6039 service provider.

SOS 6039 Reporting Features

6039 Cost Effective

Cost Effective Fulfillment

3921 and 3922 substitute statements allow you to aggregate transactions and send fewer pages per participant saving time and money while reducing participant confusion.

6039 Dedicated Account Manager

Dedicated Client Manager

We assign you an experienced client manager to answer all your questions and coordinate the project from start to finish.

6039 Security


We have strict data control processes in place, which include the use of LeapFILE to securely transfer sensitive participant data, and data destruction/shredding at project completion.

6039 Reporting Accuracy


We perform multiple data audits and reviews prior to participant statement and e-file generation. Errors in filing with IRS can be costly. Our process dramatically reduces the need to do so.

6039 Simplified Solution

Simplified Solution

We can submit the file to the IRS on your behalf or transmit the e-file back to you, allowing you to submit via the IRS FIRE website. TIN Matching services are also available.

View Our 6039 Webcasts to Learn More

6039 Certainty

How SOS Keeps Your Company in Compliance and Out of Trouble

In this SOS Solutions webcast, members of our experienced and elite 6039 reporting team will provide an overview of the regulation (for the 6039 newbies, but a good refresher course for everyone).  We will discuss the SOS 6039 reporting process, safeguards, common data issues, and the audits we use to catch them, as well as preemptive actions you can take to ensure data accuracy.   

Your 6039 Dream Team

Year-end is a hectic season for any stock administrator and 6039 compliance reporting is likely just one more thing to juggle on your long list of things to do. Let our team of 6039 experts walk you through how to make 6039 reporting a slam dunk. In this webcast our all-star team will provide a play-by-play of the 6039 requirements and regulations, penalties for not playing, and how our unrivaled SOS solutions can tackle every aspect of 6039 reporting from auditing your data to mailing and filing your participant statements.

Interested in our 6039 Reporting Services?

Complete this form to receive additional information

For General Inquiries

Give our office a call at (408) 979-8700

Feel free to email your questions to Info@sos-team.com