SEC filing 864507 218419723 2008-06-10T15:52:52Z 69.15.186.238 /* Common filing types */ A '''SEC filing''' is a [[financial statement]] or other formal document submitted to the [[U.S. Securities and Exchange Commission]] (SEC). [[Public company|Public companies]] and certain [[insider]]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. The filings are available online through the SEC's [[EDGAR]] database. ==Common filing types== * '''F-1''': Registration statement for certain foreign private issuers. * '''[[Form 3|3]]''': Initial statement of beneficial ownership (Insider transactions) * '''[[Form 4|4]]''': Statement of changes in beneficial ownership (Insider transactions). * '''[[Form 5|5]]''': Annual statement of changes in beneficial ownership (Insider transactions). * '''[[Form S-1|S-1]]''': General form of registration statement. * '''POS AM''': Post-effective amendments to provide updated [[prospectus (finance)|prospectus]] information. * '''[[Schedule 13d|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. * '''[[Form 144|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. * '''[[Form 6K|6-K]]''': Report of foreign issuer pursuant to Rules 13a-16 and 15d-16. * '''[[10-Q]]''': [[Fiscal year|Quarterly]] report filed pursuant to sections 13 or 15(d). * '''[[Form 10-K|10-K]]''': Annual report pursuant to section 13 and 15(d). * '''[[Form 8-K|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 [[securities offering | offerings]] by [[Privately held company | private companies]]. ==Other filing types== * '''G-1''': represents a registration statement for lenders other than [[commercial bank]]s 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. ==See also== For a list of Wikipedia articles on specific forms and filings, see [[:category:SEC Filings]]. ==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]. <!-- *[http://www.algostocks.com/pages/secFilings.do Live RSS Feed] DEAD LINK --> [[Category:SEC Filings]] [[Category:Financial markets]]