SEC filing
From Wikipedia, the free encyclopedia
The U.S. Securities and Exchange Commission (SEC) requires a public company in the United States to file financial statements regularly so that they can be made available to the public. Investors and financial professionals rely on these filings for information about companies they are evaluating for investment purposes.
[edit] Common filing types
- F-1: Registration statement for certain foreign private issuers.
- 4: Statement of changes in beneficial ownership.
- 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.
[edit] External links
- SEC Form 4 for Insider Trading - daily insider trading filings.
- A full listing of form types can be found at the official
- SEC website.
