SEC filing
Encyclopedia
An SEC filing is a financial statement
or other formal document submitted to the U.S. Securities and Exchange Commission (SEC). Public companies
, certain insider
s, and broker-dealer
s are required to make regular SEC filings. Investor
s and financial professionals rely on these filings for information about companies they are evaluating for investment purposes. Many, but not all SEC filings are available online through the SEC's EDGAR
database.
Other filings are required with respect to offerings
by private companies
.
database. There are also several other portals that specialize in sorting information found in individual forms.
Financial statements
A financial statement is a formal record of the financial activities of a business, person, or other entity. In British English—including United Kingdom company law—a financial statement is often referred to as an account, although the term financial statement is also used, particularly by...
or other formal document submitted to the U.S. Securities and Exchange Commission (SEC). Public companies
Public company
This is not the same as a Government-owned corporation.A public company or publicly traded company is a limited liability company that offers its securities for sale to the general public, typically through a stock exchange, or through market makers operating in over the counter markets...
, certain insider
Insider
An insider is a member of any group of people of limited number and generally restricted access. The term is used in the context of secret, privileged, hidden or otherwise esoteric information or knowledge: an insider is a "member of the gang" and as such knows things only people in the gang...
s, and broker-dealer
Broker-dealer
A broker-dealer is a term used in United States financial services regulations. It is a natural person, a company or other organization that trades securities for its own account or on behalf of its customers....
s are required to make regular SEC filings. Investor
Investor
An investor is a party that makes an investment into one or more categories of assets --- equity, debt securities, real estate, currency, commodity, derivatives such as put and call options, etc...
s and financial professionals rely on these filings for information about companies they are evaluating for investment purposes. Many, but not all SEC filings are available online through the SEC's EDGAR
EDGAR
EDGAR, the Electronic Data-Gathering, Analysis, and Retrieval system, performs automated collection, validation, indexing, acceptance, and forwarding of submissions by companies and others who are required by law to file forms with the U.S. Securities and Exchange Commission...
database.
Common filing types
| Form Name | Description |
|---|---|
| F-1 | Registration statement for certain foreign private issuers. |
| Form D Form D Form D is an SEC Filing form to be used to file a notice of an exempt offering of securities under Regulation D. Commission rules require the notice to be filed by companies and funds that have sold securities without registration under the Securities Act of 1933 in an offering based on a claim of... |
an exempt offering of securities under Regulation D |
| 3 Form 3 Form 3 is an SEC filing filed with the US Securities and Exchange Commission to indicate a preliminary insider transaction by an officer, director, or beneficial owner of the company's securities. These are typically seen after a company IPOs when insiders make their first transactions... |
Initial statement of beneficial ownership (Insider transactions) |
| 4 Form 4 Form 4 is a United States SEC filing that relates to insider trading. Every director, officer or owner of more than ten percent of a class of equity securities registered under Section 12 of the Securities Exchange Act of 1934 must file with the United States Securities and Exchange Commission a... |
Statement of changes in beneficial ownership (Insider transactions) |
| 5 Form 5 Form 5 is an SEC filing submitted to the Securities and Exchange Commission on an annual basis by company officers, directors, or beneficial owners, which summarizes their insider trading activities. This form is simply a combination of year's Form 4 filings, which are mandatory filings made... |
Annual statement of changes in beneficial ownership (Insider transactions) |
| S-1 Form S-1 Form S-1 is an SEC filing used by public companies to register their securities with the U.S. Securities and Exchange Commission as the "registration statement under the Securities Act of 1933". The S-1 contains the basic business and financial information on an issuer with respect to a specific... |
General form of registration statement. |
| POS AM | Post-effective amendments to provide updated prospectus Prospectus (finance) In finance, a prospectus is a document that describes a financial security for potential buyers. A prospectus commonly provides investors with material information about mutual funds, stocks, bonds and other investments, such as a description of the company's business, financial statements,... information. |
| 13D Schedule 13d Schedule 13D is an SEC filing that must be submitted to the US Securities and Exchange Commission within 10 days, by anyone who acquires beneficial ownership of more than 5% of any class of publicly-traded securities in a public company... |
Notification of a holding of more than 5% of any class of a company's shares by a single investor or group working together |
| 144 Form 144 On December 6, 2007, the SEC published final rules revising Rule 144 under the Securities Act of 1933, which regulates the resale of restricted securities and securities held by affiliates... |
Report of proposed sale of securities. |
| 20-F Form 20-F Form 20-F is an SEC filing submitted to the US Securities and Exchange Commission used by certain foreign private issuers to provide information.20-F, 20-F/AAnnual and transition report of foreign private issuers pursuant to sections 13 or 15... |
Registration of securities of foreign private issuers pursuant to section 12(b) or (g). |
| ARS | Annual Report to Security Holders. |
| 6-K Form 6K Form 6K is an SEC filing submitted to the US Securities and Exchange Commission used by certain foreign private issuers to provide information that is:* Required to be made public in the country of its domicile... |
Report of foreign issuer pursuant to Rules 13a-16 and 15d-16. |
| 10-Q Form 10-Q Form 10-Q, also known as a 10-Q or 10Q is a quarterly report designed to give a status of how a business is doing after three months of operation. These reports generally compare last quarter to the current quarter and last years quarter to this years quarter. The SEC put this form in place to... |
Quarterly report filed pursuant to sections 13 or 15(d). |
| 10-K Form 10-K A Form 10-K is an annual report required by the U.S. Securities and Exchange Commission , that gives a comprehensive summary of a public company's performance... |
Annual report pursuant to section 13 and 15(d). |
| 8-K Form 8-K Form 8-K is a very broad form used to notify investors of any material event that is important to shareholders or the United States Securities and Exchange Commission. This is one of the most common types of forms filed with the SEC... |
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. |
| DEF 14-A Proxy statement A proxy statement is a statement required of a United States firm when soliciting shareholder votes. This statement is filed in advance of the annual meeting. The firm needs to file a proxy statement, otherwise known as a Form DEF 14A , with the U.S. Securities and Exchange Commission... |
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
Securities offering
A securities offering is a discrete round of investment, by which a business or other enterprise raises money to fund operations, expansion, a capital project, an acquisition, or some other business purpose....
by private companies
Privately held company
A privately held company or close corporation is a business company owned either by non-governmental organizations or by a relatively small number of shareholders or company members which does not offer or trade its company stock to the general public on the stock market exchanges, but rather the...
.
All filing types
| Form Name | Description |
|---|---|
| 1 | |
| 1-A | 1-A Filing |
| 1-A-W | |
| 1-A/A | 1-A/A Filing |
| 1-E | Notification under Regulation E |
| 1-E/A | Notification under Regulation E (Amendment) |
| 10-12B Form 10-12B Form 10-12B is a U.S. SEC filing used to register securities pursuant to Section 12 of the Securities Exchange Act of 1934 in the United States.- Form Uses :... |
Registration of a class of securities |
| 10-12B/A | Registration of a class of securities (Amendment) |
| 10-12G | Registration of a class of securities |
| 10-12G/A | Registration of a class of securities (Amendment) |
| 10-D | Distribution reports by Asset-Backed issuers |
| 10-D/A | Distribution reports by Asset-Backed issuers (Amendment) |
| 10-K | Annual Reports |
| 10-K/A | Annual Report (Amendment) |
| 10-KT | Transition report |
| 10-KT/A | Transition report (Amendment) |
| 10-Q | Quarterly Reports |
| 10-Q/A | Quarterly Report (Amendment) |
| 10-QT | Transition report |
| 10-QT/A | Transition report (Amendment) |
| 10KSB | Annual Report - Small Business |
| 10KSB/A | Annual Report - Small Business (Amendment) |
| 10QSB | Quarterly Report - Small Business |
| 10QSB/A | Quarterly Report - Small Business (Amendment) |
| 10SB12B | |
| 10SB12B/A | |
| 10SB12G | |
| 10SB12G/A | |
| 11-K | Annual Report of Employee Stock Purchase |
| 11-K/A | Annual Report of Employee Stock Purchase (Amendment) |
| 11-KT | Transition report |
| 12G3-2B | 12G3-2B Filing |
| 12G32BR | 12G32BR Filing |
| 13F-HR | Initial Quarterly Form 13F Holdings report filed by institutional managers |
| 13F-HR/A | Initial Quarterly Form 13F Holdings report filed by institutional managers (Amendment) |
| 13F-NT | Initial Quarterly Form 13F Notice Report filed by institutional managers |
| 13F-NT/A | Initial Quarterly Form 13F Notice Report filed by institutional managers (Amendment) |
| 13FCONP | 13FCONP Filing |
| 144 | Proposed Sale of Securities |
| 144/A | Proposed Sale of Securities (Amendment) |
| 15-12B | Termination of registration of a class of securities |
| 15-12B/A | Termination of registration of a class of securities (Amendment) |
| 15-12G | Termination of registration of a class of securities |
| 15-12G/A | Termination of registration of a class of securities (Amendment) |
| 15-15D | Notice of suspension of duty to file reports pursuant to Section 13 and 15(d) of the Act |
| 15-15D/A | Notice of suspension of duty to file reports pursuant to Section 13 and 15(d) of the Act (Amendment) |
| 15F-12B | Notice of termination of a foreign private issuer's registration of a class of securities under Section 12(b) |
| 15F-12B/A | Notice of termination of a foreign private issuer's registration of a class of securities under Section 12(b) (Amendment) |
| 15F-12G | Notice of termination of a foreign private issuer's registration of a class of securities under Section 12(g) |
| 15F-12G/A | |
| 15F-15D | Notice of a foreign private issuers suspension of duty to file reports pursuant to Section 13 and 15(d) of the Act |
| 18-K | Annual report for foreign governments |
| 18-K/A | Annual report for foreign governments (Amendment) |
| 19B-4 | |
| 19B-4E | 19B-4E Filing |
| 2-A | |
| 2-A/A | 2-A/A Filing |
| 2-AF | 2-AF Filing |
| 2-E | 2-E Filing |
| 2-E/A | 2-E/A Filing |
| 20-F | Annual and transition report of foreign private issuers |
| 20-F/A | Annual and transition report of foreign private issuers (Amendment) |
| 20FR12B | Initial registration of a class of securities of foreign private issuers |
| 20FR12B/A | Initial registration of a class of securities of foreign private issuers (Amendment) |
| 20FR12G | Initial registration of a class of securities of foreign private issuers |
| 20FR12G/A | Initial registration of a class of securities of foreign private issuers (Amendment) |
| 24F-2NT | Filing 24F-2NT |
| 24F-2NT/A | Filing 24F-2NT (Amendment) |
| 25 | Voluntarily withdraw securities from national security exchange (filed by issuer) |
| 25-NSE | National security exchange removing securities |
| 25-NSE/A | National security exchange removing securities (Amendment) |
| 25/A | Voluntarily withdraw securities from national security exchange (filed by issuer) Amendment |
| 3 | Insider Trading (Form 3) |
| 3/A | Insider Trading (Form 3) Amendment |
| 305B2 | Application for designation of a new trustee under the Trust Indenture Act |
| 39-304D | |
| 4 | Insider Trading |
| 4/A | Insider Trading (Form 4) Amendment |
| 40-17F1 | Initial certificate of accounting of securities and similar investments in the custody of management investment companies |
| 40-17F2 | Initial certificate of accounting of securities and similar investments in the custody of management investment companies |
| 40-17F2/A | |
| 40-17G | Fidelity bond |
| 40-17G/A | Fidelity bond (Amendment) |
| 40-202A/A | Filing 40-202A/A |
| 40-206A/A | |
| 40-24B2 | Filing of sales literature |
| 40-24B2/A | Filing of sales literature (Amendment) |
| 40-33 | All stockholder derivative actions filed with a court against an investment company or an affiliate |
| 40-6B | Filing 40-6B |
| 40-6B/A | Filing 40-6B (Amendment) |
| 40-6C | |
| 40-6C/A | |
| 40-8B25 | |
| 40-8F-2 | |
| 40-APP | Applications under the Investment Company Act other than those reviewed by Office of Insurance Products |
| 40-APP/A | Applications under the Investment Company Act other than those reviewed by Office of Insurance Products (Amendment) |
| 40-F | Annual reports filed by certain Canadian issuers |
| 40-F/A | Annual reports filed by certain Canadian issuers (Amendment) |
| 40-OIP | |
| 40-OIP/A | |
| 40FR12B | Registration of a class of securities of certain Canadian issuers |
| 40FR12B/A | Registration of a class of securities of certain Canadian issuers (Amendment) |
| 40FR12G | |
| 40FR12G/A | |
| 424A | Prospectus |
| 424B1 | Prospectus |
| 424B2 | Prospectus |
| 424B3 | Prospectus |
| 424B4 | Prospectus |
| 424B5 | Prospectus |
| 424B7 | Prospectus |
| 424B8 | Prospectus |
| 425 | Filing under Securities Act Rule 425 of certain prospectuses and communications in connection with business combination transactions |
| 485APOS | Post-effective amendment |
| 485BPOS | Post-effective amendment |
| 485BXT | Post-effective amendment |
| 486APOS | Post-effective amendment |
| 486BPOS | Post-effective amendment |
| 487 | Pre-effective pricing amendment |
| 497 | Definitive materials |
| 497AD | Filing by certain investment companies of Securities Act Rule 482 advertising in accordance with Securities Act Rule 497 |
| 497H2 | |
| 497J | Certification of no change in definitive materials |
| 497K1 | Profiles for certain open-end management investment companies |
| 497K2 | Profiles for certain open-end management investment companies |
| 497K3A | Profiles for certain open-end management investment companies |
| 497K3B | Profiles for certain open-end management investment companies |
| 5 | Insider Trading (Form 5) |
| 5/A | Insider Trading (Form 5) Amendment |
| 6-K | Current report of foreign issuer |
| 6-K/A | Current report of foreign issuer (Amendment) |
| 8-A12B | Registration of a class of securities on a national securities exchange |
| 8-A12B/A | Registration of a class of securities on a national securities exchange (Amendment) |
| 8-A12G | Notification that a class of securities of successor issuer is deemed to be registered |
| 8-A12G/A | Notification that a class of securities of successor issuer is deemed to be registered (Amendment) |
| 8-K | Events or Changes Between Quarterly Reports |
| 8-K/A | |
| 8-K12B | |
| 8-K12B/A | Registration of a class of securities on a national securities exchange (Amendment) |
| 8-K12G3 | Notification that a class of securities of successor issuer is deemed to be registered |
| 8-K12G3/A | |
| 8-K15D5 | Notification of assumption of duty to report by successor |
| 8-M | 8-M Filing |
| 9-M | 9-M Filing |
| ADN-MTL | ADN-MTL Filing |
| ADV-E | ADV-E Filing |
| ADV-H-C | |
| ADV-H-T | |
| ADV-NR | ADV-NR Filing |
| ANNLRPT | Periodic Development Bank filing, submitted annually |
| APP WD | APP WD Filing |
| ARS | Annual Report to Security Holders |
| ARS/A | Annual Report to Security Holders (Amendment) |
| AW | Withdrawal of amendment to a registration statement filed under the Securities Act |
| AW WD | Withdrawal of a request for withdrawal of an amendment to a registration statement |
| CB | Certain tender offers, business combinations and rights offerings, in which the subject company is a foreign private issuer of which less than 10% of its securities are held by U.S. persons |
| CB/A | Certain tender offers, business combinations and rights offerings, in which the subject company is a foreign private issuer of which less than 10% of its securities are held by U.S. persons (Amendment) |
| CERTAMX | Filing CERTAMX |
| CERTNAS | Filing CERTNAS |
| CERTNYS | Filing CERTNYS |
| CERTPAC | Filing CERTPAC |
| CORRESP | Correspondence |
| CT ORDER | Confidential Treatment Order. |
| D Form D Form D is an SEC Filing form to be used to file a notice of an exempt offering of securities under Regulation D. Commission rules require the notice to be filed by companies and funds that have sold securities without registration under the Securities Act of 1933 in an offering based on a claim of... |
Filing D |
| D/A | Filing D (Amendment) |
| DEF 14A Proxy statement A proxy statement is a statement required of a United States firm when soliciting shareholder votes. This statement is filed in advance of the annual meeting. The firm needs to file a proxy statement, otherwise known as a Form DEF 14A , with the U.S. Securities and Exchange Commission... |
Definitive proxy statements |
| DEF 14C | Definitive information statements |
| DEFA14C | Definitive additional information statement materials including Rule 14(a)(12) material |
| DEFC14A | Definitive proxy statement in connection with contested solicitations |
| DEFC14C | Definitive information statement - contested solicitations |
| DEFM14A | Definitive proxy statement relating to merger or acquisition |
| DEFM14C | Definitive information statement relating to merger or acquisition |
| DEFN14A | Definitive proxy statement filed by non management |
| DEFR14A | Definitive revised proxy soliciting materials |
| DEFR14C | Definitive revised information statement materials |
| DEL AM | Separately filed delaying amendment |
| DFAN14A | Definitive additional proxy soliciting materials filed by non-management |
| DFRN14A | Revised definitive proxy statement filed by non-management |
| DSTRBRPT | Distribution of primary obligations Development Bank report |
| EFFECT | Filing EFFECT |
| F-1 | Registration statement for securities of certain foreign private issuers |
| F-1/A | Registration statement for securities of certain foreign private issuers (Amendment) |
| F-10 | Registration statement for securities of certain Canadian issuers |
| F-10/A | Registration statement for securities of certain Canadian issuers (Amendment) |
| F-10EF | |
| F-10POS | |
| F-1MEF | |
| F-3 | Registration statement for specified transactions by certain foreign private issuers |
| F-3/A | Registration statement for specified transactions by certain foreign private issuers (Amendment) |
| F-3ASR | Automatic shelf registration Shelf registration Shelf registration is a process authorized by the U.S. Securities and Exchange Commission under Rule 415 that allows a single registration document to be filed by a company that permits the issuance of multiple securities. Form S-3 issuers may use shelf-registration to register securities that will... statement of securities of well-known seasoned issuers |
| F-3D | Registration statement for dividend or interest reinvestment plan securities of foreign private issuers |
| F-3DPOS | |
| F-4 | Registration statement for securities issued by foreign private issuers in certain business combination transactions |
| F-4 POS | |
| F-4/A | Registration statement for securities issued by foreign private issuers in certain business combination transactions (Amendment) |
| F-6 | Registration statement for American Depositary Receipts representing securities of certain foreign private issuers |
| F-6 POS | Post-effective amendment to a F-6EF registration |
| F-6/A | Registration statement for American Depositary Receipts representing securities of certain foreign private issuers (Amendment) |
| F-6EF | Auto effective registration statement for American Depositary Receipts representing securities of certain foreign private issuers |
| F-7 | Registration statement for securities of certain Canadian issuers offered for cash upon the exercise of rights granted to existing security holders |
| F-7 POS | |
| F-7/A | |
| F-8 | Registration statement for securities of certain Canadian issuers to be issued in exchange offers or a business combination |
| F-8/A | Registration statement for securities of certain Canadian issuers to be issued in exchange offers or a business combination (Amendment) |
| F-80 | |
| F-9 | Registration of securities of certain investment grade debt or investment grade preferred securities of certain Canadian issuers |
| F-9/A | Registration of securities of certain investment grade debt or investment grade preferred securities of certain Canadian issuers (Amendment) |
| F-N | Notification of the appointment of an agent for service by certain foreign institutions |
| F-X | For appointment of agent for service of process by issuers registering securities |
| F-X/A | For appointment of agent for service of process by issuers registering securities (Amendment) |
| FOCUSN | FOCUSN Filing |
| FOCUSN/A | FOCUSN Filing (Amendment) |
| FWP | Filing under Securities Act Rules 163/433 of free writing prospectuses |
| G-405 | G-405 Filing |
| G-405N | |
| G-FIN | G-FIN Filing |
| G-FIN/A | G-FIN/A Filing (Amendment) |
| MSD | |
| MSD/A | MSD/A Filing (Amendment) |
| MSDW | MSDW Filing |
| N-14 | Initial registration statement for open-end investment company |
| N-14 8C | Initial registration statement filed on Form N14 by closed-end investment company (business combinations) |
| N-14 8C/A | Initial registration statement filed on Form N14 by closed-end investment company (business combinations) Amendment |
| N-14/A | Initial registration statement for open-end investment company (Amendment) |
| N-14AE | Filing N-14AE |
| N-14AE/A | N-14AE (Amendment) |
| N-18F1 | Initial notification of election pursuant to Rule 18f-1 filed on Form N-18F-1 |
| N-18F1/A | Initial notification of election pursuant to Rule 18f-1 filed on Form N-18F-1 (Amendment) |
| N-1A | Initial registration statement for open-end management investment companies |
| N-1A/A | Initial registration statement for open-end management investment companies |
| N-2 | Initial filing of a registration statement on Form N-2 for closed-end investment companies |
| N-2/A | Initial filing of a registration statement on Form N-2 for closed-end investment companies (Amendment) |
| N-23C-2 | Notice by closed-end investment companies of intention to call or redeem their own securities |
| N-23C-2/A | Notice by closed-end investment companies of intention to call or redeem their own securities (Amendment) |
| N-23C3A | Notification of periodic repurchase offer Filed pursuant to Rule 23c-3(b) only |
| N-23C3A/A | Notification of periodic repurchase offer Filed pursuant to Rule 23c-3(b) only (Amendment) |
| N-23C3B | Filing N-23C3B |
| N-23C3C | |
| N-23C3C/A | Filing N-23C3C/A |
| N-2MEF | |
| N-3 | |
| N-30B-2 | Periodic and interim reports mailed to investment company shareholders |
| N-30D | Initial annual and semi-annual reports mailed to investment company shareholders |
| N-30D/A | |
| N-4 | Initial registration statement on Form N-4 for separate accounts (unit investment trusts) |
| N-4/A | Initial registration statement on Form N-4 for separate accounts (unit investment trusts) Amendment |
| N-54A | Notification of election by business development companies |
| N-54C | Notification of election by business development companies |
| N-54C/A | Notification of election by business development companies (Amendment) |
| N-6 | Registration statement for separate accounts |
| N-6/A | Registration statement for separate accounts (Amendment) |
| N-6F | Notice of intent by business development companies to elect to be subject to Sections 55 through 65 of the 1940 Act filed on Form N-6F |
| N-8A | Initial notification of registration under section 8(a) filed on Form N-8A |
| N-8A/A | Initial notification of registration under section 8(a) filed on Form N-8A (Amendment) |
| N-8B-2 | Initial registration statement for unit investment trusts |
| N-8B-2/A | Initial registration statement for unit investment trusts |
| N-8F | Application for deregistration made on Form N-8F |
| N-8F/A | Application for deregistration made on Form N-8F (Amendment) |
| N-CSR | Certified annual shareholder report of registered management investment companies |
| N-CSR/A | Certified annual shareholder report of registered management investment companies (Amendment) |
| N-CSRS | Certified semi-annual shareholder report of registered management investment companies |
| N-CSRS/A | Certified semi-annual shareholder report of registered management investment companies (Amendment) |
| N-PX | Annual Report of Proxy Voting Record of Registered Management Investment Companies |
| N-PX/A | Annual Report of Proxy Voting Record of Registered Management Investment Companies |
| N-Q | Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company |
| N-Q/A | Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company |
| NO ACT | NO ACT Filing |
| NSAR-A | Semi-annual report for management companies |
| NSAR-A/A | Semi-annual report for management companies (Amendment) |
| NSAR-AT | |
| NSAR-B | Annual report for management companies |
| NSAR-B/A | Annual report for management companies (Amendment) |
| NSAR-BT | Transitional annual report filed on Form NSAR |
| NSAR-BT/A | |
| NSAR-U | Annual report for unit investment trusts |
| NSAR-U/A | Annual report for unit investment trusts (Amendment) |
| NT 10-K | Notice under Rule 12b25 of inability to timely file all or part of a Form 10-K, 10-KSB, or 10KT |
| NT 10-K/A | Notice under Rule 12b25 of inability to timely file all or part of a Form 10-K, 10-KSB, or 10KT (Amendment) |
| NT 10-Q | Notice under Rule 12b25 of inability to timely file all or part of a form 10-Q or 10-QSB |
| NT 10-Q/A | Notice under Rule 12b25 of inability to timely file all or part of a form 10-Q or 10-QSB (Amendment) |
| NT 11-K | Notice under Rule 12b25 of inability to timely file all or part of a form 11-K |
| NT 15D2 | |
| NT 20-F | Notice under Rule 12b25 of inability to timely file all or part of an annual report of form 20-F |
| NT 20-F/A | |
| NT-NCSR | Notice under Exchange Act Rule 12b-25 of inability to timely file Form N-CSR (annual or semi-annual report) |
| NT-NCSR/A | Notice under Exchange Act Rule 12b-25 of inability to timely file Form N-CSR (annual or semi-annual report) Amendment |
| NT-NSAR | Notice under Exchange Act Rule 12b-25 of inability to timely file Form N-SAR |
| NT-NSAR/A | |
| NTFNCSR | |
| NTFNSAR | |
| NTN 10K | Filing NTN 10K |
| NTN 10Q | Filing NTN 10Q |
| NTN 20F | Filing NTN 20F |
| POS 8C | Post-effective amendment by closed-end investment companies |
| POS AM | Post-effective amendment to a registration statement that is not immediately effective upon filing |
| POS AMI | Post-effective amendment |
| POS EX | Post-effective amendment filed solely to add exhibits to a registration statement |
| POS462B | Post-effective amendment to Securities Act Rule 462(b) registration statement |
| POS462C | Post-effective amendment to a registration statement filed under Rule 462(c) |
| POSASR | Post-effective amendment to an automatic shelf registration Shelf registration Shelf registration is a process authorized by the U.S. Securities and Exchange Commission under Rule 415 that allows a single registration document to be filed by a company that permits the issuance of multiple securities. Form S-3 issuers may use shelf-registration to register securities that will... statement on Form S-3ASR or Form F-3ASR |
| PRE 14A | Preliminary proxy statement not related to a contested matter or merger/acquisition |
| PRE 14C | Preliminary information statement not related to a contested matter or merger/acquisition |
| PREC14A | Preliminary proxy statement in connection with contested solicitations |
| PREC14C | Preliminary information statements - contested solicitations |
| PREM14A | Preliminary proxy statements relating to merger or acquisition |
| PREM14C | Preliminary information statements relating to merger or acquisition |
| PREN14A | Preliminary proxy statement filed by non-management |
| PRER14A | Preliminary revised proxy soliciting materials |
| PRER14C | Preliminary revised information statements |
| PRRN14A | Revised preliminary proxy statement filed by non-management |
| PX14A6G | Notice of exempt solicitation |
| PX14A6N | |
| QRTLYRPT | Periodic Development Bank filing, submitted quarterly |
| REG-NR | REG-NR Filing |
| REGDEX | Regulation D Exemption Filing |
| REGDEX/A | REGDEX Filing (Amendment) |
| RW | Registration Withdrawal Request |
| RW WD | Withdrawal of a Registration Withdrawal Request |
| S-1 | IPO Registration |
| S-1/A | IPO Registration (Amendment) |
| S-11 | Registration statement for securities to be issued by real estate companies |
| S-11/A | Registration statement for securities to be issued by real estate companies (Amendment) |
| S-11MEF | A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form S 11 |
| S-1MEF | A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form S 1 |
| S-3 | Registration statement for specified transactions by certain issuers |
| S-3/A | Registration statement for specified transactions by certain issuers (Amendment) |
| S-3ASR | Automatic shelf registration Shelf registration Shelf registration is a process authorized by the U.S. Securities and Exchange Commission under Rule 415 that allows a single registration document to be filed by a company that permits the issuance of multiple securities. Form S-3 issuers may use shelf-registration to register securities that will... statement of securities of well-known seasoned issuers |
| S-3D | Automatically effective registration statement for securities issued pursuant to dividend or interest reinvestment plans |
| S-3DPOS | Post-effective amendment to a S-3D registration statement |
| S-3MEF | A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form S 3 |
| S-4 | Registration of securities issued in business combination transactions |
| S-4 POS | Post-effective amendment to a S-4EF registration statement |
| S-4/A | Registration of securities issued in business combination transactions (Amendment) |
| S-4EF | |
| S-4EF/A | |
| S-4MEF | A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form S-4 |
| S-6 | Initial registration statement filed on Form S-6 for unit investment trusts |
| S-6/A | Initial registration statement filed on Form S-6 for unit investment trusts (Amendment) |
| S-8 | Initial registration statement for securities to be offered to employees pursuant to employee benefit plans |
| S-8 POS | Post-effective amendment to a S-8 registration statement |
| S-B | Registration statement for securities of foreign governments and subdivisions |
| S-B/A | Registration statement for securities of foreign governments and subdivisions (Amendment) |
| S-BMEF | A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form SB-1 |
| SB-1 | |
| SB-1/A | |
| SB-2 | |
| SB-2/A | |
| SB-2MEF | |
| SC 13D | Schedule filed to report acquisition of beneficial ownership of more than 5% of a class of equity securities |
| SC 13D/A | Schedule filed to report acquisition of beneficial ownership of more than 5% of a class of equity securities (Amendment) |
| SC 13E3 | Schedule filed to report going private transactions |
| SC 13E3/A | Schedule filed to report going private transactions (Amendment) |
| SC 13G | Schedule filed to report acquisition of beneficial ownership of more than 5% of a class of equity securities by passive investors and certain institutions |
| SC 13G/A | Schedule filed to report acquisition of beneficial ownership of more than 5% of a class of equity securities by passive investors and certain institutions (Amendment) |
| SC 14D9 | Tender offer solicitation/recommendation statements filed under Rule 14d-9 |
| SC 14D9/A | Tender offer solicitation/recommendation statements filed under Rule 14d-9 (Amendment) |
| SC 14F1 | Statement regarding change in majority of directors pursuant to Rule 14f-1 |
| SC 14F1/A | Statement regarding change in majority of directors pursuant to Rule 14f-1 (Amendment) |
| SC TO-C | Written communication relating to an issuer or third party tender offer |
| SC TO-I | Issuer tender offer statement |
| SC TO-I/A | Issuer tender offer statement (Amendment) |
| SC TO-T | Third party tender offer statement |
| SC TO-T/A | Third party tender offer statement (Amendment) |
| SC13E4F | Issuer tender offer statement filed pursuant to Rule 13(e)(4) by foreign issuers |
| SC13E4F/A | Issuer tender offer statement filed pursuant to Rule 13(e)(4) by foreign issuers (Amendment) |
| SC14D1F | Third party tender offer statement filed pursuant to Rule 14d-1(b) by foreign issuers |
| SC14D1F/A | Third party tender offer statement filed pursuant to Rule 14d-1(b) by foreign issuers (Amendment) |
| SC14D9C | Written communication by the subject company relating to a third party tender offer |
| SC14D9F | |
| SC14D9F/A | |
| SE | SE Filing |
| SP 15D2 | |
| SUPPL | Voluntary supplemental material filed pursuant to Section 11(a) of the Securities Act of 1933 by foreign issuers |
| T-3 | Initial application for qualification of trust indentures |
| T-3/A | Initial application for qualification of trust indentures (Amendment) |
| TA-1 | Application for registration as a transfer agent filed pursuant to the Securities Exchange Act of 1934 |
| TA-1/A | Application for registration as a transfer agent filed pursuant to the Securities Exchange Act of 1934 (Amendment) |
| TA-2 | Annual report of transfer agent activities filed pursuant to the Securities Exchange Act of 1934 |
| TA-2/A | Annual report of transfer agent activities filed pursuant to the Securities Exchange Act of 1934 (Amendment) |
| TA-W | Notice of withdrawal from registration as transfer agent filed pursuant to the Securities Exchange Act of 1934 |
| TTW | TTW Filing |
| UNDER | |
| UPLOAD | UPLOAD Filing |
| WDL-REQ | WDL-REQ Filing |
| X-17A-5 | X-17A-5 Filing |
| X-17A-5/A | X-17A-5/A Filing |
Form Suffixes
| Suffix | Description |
|---|---|
| SB | Small Business Filing (i.e. a Form 10K becomes a Form 10K/SB) |
| A | Amendment to a Previous Filing (i.e. 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 EDGAREDGAR
EDGAR, the Electronic Data-Gathering, Analysis, and Retrieval system, performs automated collection, validation, indexing, acceptance, and forwarding of submissions by companies and others who are required by law to file forms with the U.S. Securities and Exchange Commission...
database. There are also several other portals that specialize in sorting information found in individual forms.
External links
- A full listing of form types as well as the forms and filing instructions can be found at the official SEC website.
- Rocket Financial Unique interface to access filings from the SEC's EDGAR database
- SEC Watch SEC Filings and Insider Trading Overview
- SECFilings.com Search SEC filings by date and type of filing.
- InvestorScopes Search SEC filings and see filing keyword trends