SEC filing

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An SEC filing is a financial statement or other formal document submitted to the U.S. Securities and Exchange Commission (SEC). Public companies, certain insiders, and broker-dealers 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. Many, but not all SEC filings are available online through the SEC's EDGAR database.

Common filing types[edit]

Form Name Description
F-1 Registration statement for certain foreign private issuers.
Form D an exempt offering of securities under Regulation D
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 more than 5% 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.
DEF 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.

All filing types[edit]

The filings accepted by the SEC as of November 2011.

Form Name Description
1-E, 1-E/A Notification under Regulation E by small business investment companies and business development companies (and amendment thereto)
1-E AD, 1-E AD/A Sales material filed pursuant to Rule 607 under Regulation E. (and amendment thereto)
2-E, 2-E/A Sales material filed pursuant to Rule 609 under Regulation E. (and amendment thereto)
10-12B, 10-12B/A Initial general form for registration of a class of securities pursuant to section 12(b) (and amendment thereto)
10-12G, 10-12G/A Initial general form for registration of a class of securities pursuant to section 12(g) (and amendment thereto)
10-D, 10-D/A Periodic distribution reports by Asset-Backed issuers pursuant to Rule 13a-17 or 15d-17 (and amendment thereto)
10-K, 10-K/A Annual report pursuant to section 13 and 15(d) (and amendment thereto)
10-KT, 10-KT/A Transition report pursuant to Rule 13a-10 or 15d-10 (and amendment thereto)
10-Q, 10-Q/A Quarterly report pursuant to section 13 and 15(d) (and amendment thereto)
10-QT, 10-QT/A Transition report pursuant to Rule 13a-10 or 15d-10 (and amendment thereto)
11-K, 11-K/A Annual report of employee stock purchase, savings and similar plans (and amendment thereto)
11-KT, 11-KT/A Transition report pursuant to Rule 13a-10 or 15d-10 (and amendment thereto)
13F-HR, 13F-HR/A Initial Quarterly Form 13F Holdings report filed by institutional managers (and amendment thereto)
13F-NT, 13F-NT/A Initial Quarterly Form 13F Notice Report filed by institutional managers (and amendment thereto)
13H, 13H-Q, 13H-A, 13H-I, 13H-R, 13H-T Large Trader Registration Information Required of Large Traders Pursuant to the Securities Exchange Act of 1934 and Rule 13h-1 Thereunder. Initial Filing (13H), Amended Filing (13H-Q), Annual Filing (13H-A), Inactive Status (13H-I), Reactivated Status (13H-R), and Termination Filing (13H-T)
144, 144/A Filing for proposed sale of securities under Rule 144 (and amendment thereto)
15-12B, 15-12B/A Notice of termination of registration of a class of securities under Section 12(b) (and amendment thereto)
15-12G, 15-12G/A Notice of termination of registration of a class of securities under Section 12(g) (and amendment thereto)
15-15D, 15-15D/A Notice of suspension of duty to file reports pursuant to Section 13 and 15(d) of the Act (and amendment thereto)
15F-12G, 15F-12G/A Notice of termination of a foreign private issuer's registration of a class of securities under Section 12(g) (and amendment thereto)
15F-15D, 15F-15D/A Notice of a foreign private issuers suspension of duty to file reports pursuant to Section 13 and 15(d) of the Act (and amendment thereto)
18-K, 18-K/A Annual report for foreign governments (and amendment thereto)
20-F, 20-F/A Annual and transition report of foreign private issuers pursuant to sections 13 or 15(d) (and amendment thereto)
20FR12B, 20FR12B/A Form for initial registration of a class of securities of foreign private issuers pursuant to section 12(b) (and amendment thereto)
20FR12G, 20FR12G/A Form for initial registration of a class of securities of foreign private issuers pursuant to section 12(g) (and amendment thereto)
24F-2NT, 24F-2NT/A Rule 24F-2 notice filed on Form 24F-2 (and amendment thereto)
25, 25/A Notification filed by issuer to voluntarily withdraw a class of securities from listing and registration on a national securities exchange (and amendment thereto)
25-NSE, 25-NSE/A Notification filed by national security exchange to report the removal from listing and registration of matured, redeemed or retired securities (and amendment thereto)
3, 3/A Initial statement of beneficial ownership of securities (and amendment thereto)
305B2, 305B2/A Application for designation of a new trustee under the Trust Indenture Act
4, 4/A Statement of changes in beneficial ownership of securities (and amendment thereto)
40-6B, 40-6B/A Application under the Investment Company Act by an employees‟ securities company
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 Filing D
D/A Filing D (Amendment)
DEF 14A 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 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 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 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

See also[edit]

Form suffixes[edit]

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[edit]

All forms are filed with the SEC, and many can be found for free in the SEC's EDGAR database.[1] There are also several other portals that specialize in sorting information found in individual forms, such as the financial search engine, AlphaSense.

Forms which are not found in EDGAR include the Form PF, which is used for private funds and is kept confidential per the Dodd-Frank Act.[2]

References[edit]

External links[edit]