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].
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[[Category:SEC Filings]]
[[Category:Financial markets]]