SEC filing

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An SEC filing is financial statement or other formal document submitted to the U.S. Securities and Exchange Commission (SEC). Public companies and certain insiders 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. The filings are available online through the SEC's EDGAR database.

1 Common filing types
2 Form Suffixes
3 Finding Forms
4 See Also
5 External links

[edit] Common filing types

F-1: Registration statement for certain foreign private issuers.
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 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.

Other filings are required with respect to offerings by private companies.

[edit] 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)

[edit] Finding Forms

All forms are filed with the SEC, and can be found in the SEC's EDGAR database. Filing e-mail alerts and feeds are also available for free at SECFilings.com. There are also several other portals that specialize in sorting information found in individual forms.