SEC filing

An SEC filing is a financial statement or other formal document submitted to the U.S. Securities and Exchange Commission (SEC). Public companies and certain insiders are required to make regular SEC filings. Investors and financial professionals rely on these filings for information about companies they are evaluating for investment purposes. The filings are available online through the SEC's EDGAR database.

Common filing types

* F-1: Registration statement for certain foreign private issuers.
* 3: Initial statement of beneficial ownership (Insider transactions)
* 4: Statement of changes in beneficial ownership (Insider transactions).
* 5: Annual statement of changes in beneficial ownership (Insider transactions).
* S-1: General form of registration statement.
* POS AM: Post-effective amendments to provide updated prospectus information.
* 13D: Notification of a holding of 5% or more of any class of a company's shares by a single investor or group working together.
* 144: Report of proposed sale of securities.
* 20-F: Registration of securities of foreign private issuers pursuant to section 12(b) or (g).
* ARS: Annual Report to Security Holders.
* 6-K: Report of foreign issuer pursuant to Rules 13a-16 and 15d-16.
* 10-Q: Quarterly report filed pursuant to sections 13 or 15(d).
* 10-K: Annual report pursuant to section 13 and 15(d).
* 8-K: Interim report which announces any material events or corporate changes that occur between 10-Q quarterly reports.
* 11-K: An annual report of employee stock purchase, savings and similar plans.
* 14-A: Proxy Statement. Notification of shareholder votes, information about the Board of Directors, Board compensation, and Executive compensation.

Other filings are required with respect to offerings by private companies.

Other filing types

* G-1: represents a registration statement for lenders other than commercial banks and brokers that extend credit secured by registered equity securities (ie. the Federal Reserve Board).

Form Suffixes

* SB - Small Business Filing (ie. a Form 10K becomes a Form 10K/SB)
* A - Amendment to a Previous Filing (ie. Schedule 13D becomes Schedule 13D/A)
* T - Transitional - when changing fiscal year (i.e. 10K becomes 10KT)

Finding Forms

All forms are filed with the SEC, and can be found for free in the SEC's [http://edgar.sec.gov EDGAR database] . There are also several other portals that specialize in sorting information found in individual forms.

ee also

For a list of Wikipedia articles on specific forms and filings, see .

External links

* A [http://www.sec.gov/info/edgar/forms/edgform.pdf full listing of form types] as well as the [http://www.sec.gov/about/forms/secforms.htm forms and filing instructions] can be found at the official [http://www.sec.gov SEC website] .