SEC Filing - Common Filing Types

Common Filing Types

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.

Read more about this topic:  SEC Filing

Famous quotes containing the words common, filing and/or types:

    “I never approve, or disapprove, of anything now. It is an absurd attitude to take towards life. We are not sent into the world to air our moral prejudices. I never take any notice of what common people say, and I never interfere with what charming people do.”
    —Oscar Wilde (1854–1900)

    “Is not the whole world a vast house of assignation of which the filing system has been lost?”
    —Quentin Crisp (b. 1908)

    “He’s one of those know-it-all types that, if you flatter the wig off him, he chatter like a goony bird at mating time.”
    —Michael Blankfort. Lewis Milestone. Johnson (Reginald Gardner)