Appendix 3 Electronic Filing
To further assist our producers, the Appendix 3 is now submitted online through the Department of Insurance Surplus Lines Web Portal. The User Guide directs users through the online system for account creation, account management and submission of the filings.
Section 384.057 RSMo requires that before March 2 of each year, each surplus lines producer shall file with the Director the surplus lines tax report known as the Appendix 3 form. If you held a surplus lines license anytime during the tax year, you are required to submit the Appendix 3 form. If no business was placed, you are required to file a zero return.
The surplus lines licensee shall thereafter maintain in the licensee's files the original verified annual surplus lines tax report in its entirety for a period ending five years after the filing of the verified annual surplus lines tax report. The electronic filing of the annual surplus lines tax report constitutes a representation by the licensee who files it that the licensee has in the licensee's possession at the time of electronic filing the fully executed original verified annual surplus lines tax report.
You will log into your account and select the Appendix 3 at the top of the page. You will need to fill out the form in its entirety and click either submit and continue or submit and finish. Please remember not to submit any tax amounts on your filings.
After you submit your filings, go to the Print Data for this session tab at the top of the page. This is the only time this information is available. You will be emailed the process complete report the next business day with the risk numbers for your records.
- Filing type: On the Surplus Lines Web Portal, you will pick the Appendix 3 box. On the Excel spreadsheet this will be 3 and will automatically populate when the SL# is entered into the appropriate column.
- Risk number: Unique risk number assigned by the Missouri Department of Insurance when Appendix 1 was submitted. You cannot file an amount without the risk number.
- Surplus lines licensee number: Surplus lines licensee number which is assigned by DIFP. If you do not know the surplus lines licensee number, check SBS Licensee Look-up.
- Coverage type: Two-digit number for coverage type assigned by DIFP. Review list of valid coverage types.
- Carrier code: Three-digit number for each carrier assigned by DIFP. Review list of valid carrier codes.
- Name of insured: Complete name of insured.
- Premium amount debit: Dollar amount of premium charged. If no amount, submit as 0. Do not use dollar signs, commas or double quotation marks. Add any fees charged do not include the tax amount.
- Premium amount credit: Dollar amount of any premium reduction. If no amount, submit as 0. Do not include a negative sign. Do not use dollar signs, commas or double quotation marks. Add any fees charged do not include the tax amount.
- Tax year: Four-digit tax year for risk being reported.
How to submit the Excel Appendix 3 (xlsm for macros) (Prior Years Only)
Email your Excel file attachment to the Surplus Lines Section at firstname.lastname@example.org. In the body of message, identify the following:
- Filing type - Appendix 3.
- Producer's name and surplus lines licensee number.
- Producer's email address.
- Contact person's name, email address and phone number.
DIFP will validate your submission and send the approved and rejected filings report to you via email. You will need to correct the rejected filings and resubmit.