Following is a list of the various types of SEC Filings and their definitions. To find filings listed by classification, click on the classification below or scroll down:
| Classification |
Form Type |
Variations |
Definition |
| 10-K Filings |
10-K |
|
10-K is an annual report which provides a comprehensive overview of the company for the past year. The filing is due 90 days after the close of the company's fiscal year, and contains such information as company history, organization, nature of business, equity, holdings, earnings per share, subsidiaries, and other pertinent financial information. |
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10-K-A |
Amendment to a 10-K that was filed previously. |
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10-K405 |
An annual report which is filed if the Regulation S-K Item 405 box on the cover page is checked. |
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10-K405/A |
Amendment to a 10-K405 that was filed previously. |
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10-K NT |
Notification that form 10-K will be submitted late. |
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10-K/A NT |
Amendment to a NT 10-K that was filed previously. |
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10KSB |
Filed by a small business, this annual report provides a complete overview of a company for the past year. The filing is due 90 days after the close of the company's fiscal year, and contains such information as company history, organization, nature of business, equity, holdings, earnings per share, subsidiaries, and other pertinent financial information. |
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10KSB/A |
Amendment to a 10KSB that was filed previously. |
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10-KSB40 |
An optional form for annual and transition reports of small business issuers under Section 13 or 15 (d) of the Securities Exchange Act where the Regulation S-B Item 405 box on the cover page (relating to section 16 (a) reports) is checked. |
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10-KSB40/A |
Amendment to a 10KSB40 that was filed previously. |
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10-KT |
Annual transition reports filed according to rule 13a-10 or 15d-10 of the Securities Exchange Act. |
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10-KT/A |
Amendment to a 10-KT that was filed previously. |
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10-KT405 |
Annual transition report filed according to Rule 13a-10 or 15d-10 of the Securities Exchange Act. |
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10-KT405/A |
Amendment to a 10KT405 that was filed previously. |
| 10-Q Filings |
|
10-Q |
A quarterly report which includes unaudited financial statements and provides a continuing view of the company's financial position during the year. The report must be filed for each of the first three fiscal quarters of the company's fiscal year and is due within 45 days of the close of the quarter. No filing is due for the fourth quarter. |
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10-Q/A |
Amendment to a 10-Q that was filed previously. |
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10QSB |
Filed by a small business, this quarterly report provides a continuing view of a company's financial position during the year. It includes unaudited financial statements and provides a continuing view of the company's financial position and results of operations throughout the year. The report must be filed for each of the first three fiscal quarters and is due within 45 days of the close of the quarter. |
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10QSB/A |
Amendment to a 10QSB that was filed previously. |
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10-QT |
Quarterly transition reports filed according to rule 13a-10 or 15d-10 of the Securities Exchange Act. |
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10-QT/A |
Amendment to a 10-QT that was filed previously. |
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10-Q NT |
Notification that form type 10-Q will be submitted late. |
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10-Q/A NT |
Amendment to a NT 10-Q that was filed previously. |
| Proxies |
14A |
PRE 14A
PREA 14A
PREC 14A
PREM 14A
PREC 14A
PRRN14A
PX14A6G
DEFA14A
DEFC14A
DEFM14A
DEFN14A
DEFR14A
DFAN14A
DEFS14A
DFRN14A |
14A is notification to shareholders of matters to be brought before shareholders meeting. It solicits proxy. |
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14C |
PRE 14C
PREA 14C
PREC 14C
PREM 14C
PRER 14C
PRES 14C
DEFA14C
DEFC14C
DEFM 14C
DEFS 14C |
14C is notification to shareholders of matters to be brought before shareholders meeting, but does not solicit proxy. |
| Material Events |
8-K |
6-K
6-K/A
8-K
8-K/A
8-K12G3
8-K12G3/A
8-K15D5
8-K15D5/A |
An 8-K must be filed to report material events or changes deemed of importance to the shareholders or SEC. (6-K sometimes filed by foreign companies not required to file 8-K.) |
Tender Offers/
Acquisition Reports |
13-D |
SC 13-D
SC 13-D/A |
A 13-D by must be filed by 5%-or-more equity owners within 10 days of acquisition. |
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14D-1 |
SC 14D-1
SC 14D-1/A |
14D-1 is submitted to the SEC at the same time as tender offer is made to holders of the equity securities of the target company. |
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14D-9 |
SC 14D9
SC 14D9/A |
14D9 is management's reply to a tender offer, which must be filed with the SEC within 10 days of the tender offer. |
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13E-4 |
SC 13E4
SC 13E4/A |
Statement by issuer of the tender offer, providing information about the tender offer such as the source and amount of funds, and the purpose of the tender offer. |
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13E-3 |
DEF13E3
PRE13E3
SC 13E3
DEF13E3/A
PRE13E3/A
SC 13E3/A
|
Filing pursuant to a public company or affiliate going private. |
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13-G |
SC 13G
SC 13G/A |
13-G must be filed by reporting persons (mainly institutions) with more than 5% ownership within 45 days after the end of the calendar year. |
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14F-1 |
SC 14F-1
SC 14F-1/A |
Statement re change in majority of directors pursuant to Rule 14f-1. |
| Registrations (Offering) |
S-1 |
S-1
S-1/A
S-1MEF
S-1MEF/A |
S-1 registration filed by a company when it decides to go "public" and sell securities. Known as an IPO (Initial Public Offering). |
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S-2 |
S-2
S-2/A
S-2MEF
S-2MEF/A |
S-2 filed to register a securities offering by companies meeting certain reporting requirements. |
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S-3 |
S-3
S-3/A
S-3D
S-3D/A
S-3DPOS
S-3MEF |
S-3 filed to register a securities offering by companies meeting certain reporting requirements and also certain requirements related to voting stock. |
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S-4 |
S-4
S-4/A
S-4EF
S-4EF/A
S-4 POS
S-4MEF |
S-4 filed to register a securities offering in certain business combinations or reorganization. |
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S-6 |
S-6
S-6/A
S-6EL24
S-6EL24/A |
Initial registration statement for investment unit trust. |
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UNDER
UNDER/A |
Amendment pursuant to Item 4 of Form S-6. |
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S-8 |
S-8
S-8/A
S-8 POS |
Filing required when securities are to be offered to employees under employee benefit plans. |
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S-11 |
S-11
S-11/A
S-11MEF
S-11MEF/A |
Filed by real estate companies, mostly limited partnership and investment trusts. |
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SB-1 |
SB-1
SB-1/A
SB-1MEF |
An optional filing for small business issuers for the registration of securities to be sold to the public. |
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SB-2 |
SB-2
SB-2/A
SB-2MEF |
An optional filing for small business issuers for the registration of securities to be sold to the public. |
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S-20 |
S-20
S-20/A |
Initial registration statement for standardized options. |
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N-1 |
N-1
N-1/A
N-1A EL
N-1A EL/A
N-1A
N-1A/A |
Registration statement for open-end management investment companies. |
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N-2 |
N-2
N-2/A
N-2MEF
N-2MEF/A |
Registration statement for closed-end management investment companies. |
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N-3 |
N-3
N-3/A
N-3 EL
N-3 EL/A |
Registration statement for separate account (management investment companies). |
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N-4 |
N-4
N-4/A
N-4 EL
N-4 EL/A |
Registration statement for separate account (unit investment trusts). |
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N-5 |
N-5
N-5/A |
Registration statement for small business investment companies. |
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N-14 |
N-14
N-14/A
N-14AE
N-14AE/A |
Registration statement for investment companies business combination. |
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N14EL24
N14EL24/A |
Initial statement with 24f-2 election and pre-effective amendments. |
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N14AE24
N14AE24/A |
Initial statement with automatic effectiveness with 24f-2 election and pre-effective amendments. |
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NSAR |
NSAR-A
NSAR-A/A
NSAR-AT
NSAR-AT/A
NSAR-B
NSAR-B/A
NSAR-BT
NSAR-BT/A
NSAR-U
NSAR-U/A
NT-NSAR
NT-NSAR/A
NTFNSAR
NTNNSAR |
Annual statement of management investment companies. |
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F-1 |
F-1
F-1/A
F-1MEF |
Registration of securities by foreign private issuers. |
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F-2 |
F-2
F-2/A
F-2D
F-2DPOS
F-2D/A |
Registration of securities by foreign private issuers meeting certain reporting requirements. |
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F-3 |
F-3
F-3/A
F-3D
F-3DPOS
F-3MEF
F-3D/A |
Registration of securities by foreign private issuers meeting certain reporting requirements and related to certain types of transactions. |
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F-4 |
F-4
F-4/A
F-4MEF |
Registration of securities by foreign private issuers for certain business transactions. |
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F-6 |
F-6
F-6/A
F-6POS
F-6EF
F-6EF/A |
Registration of depository shares evidenced by American Depository Receipts. |
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N-8A |
N-8A
N-8A
N-8A/A |
Notification of registration under section 8(a). |
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N-8B-2 |
N-8B-2
N-8B-2/A |
Registration statement for unit investment trusts. |
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N-8B-3 |
N-8B-3
N-8B-3/A |
Registration statement for periodic payment plans. |
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24F |
24F-1
24F-2EL
24F-2EL/A
24F-2NT
24F-2NT/A
24F-2TM
24F-3NT
24F-3NT/A |
Registration of securities by certain investment companies. Pursuant to rules 24f-1, 24f-2, and 24f-3. |
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Form 15 |
15
15-12B
15-12B/A
15-12G
15-12G/A
15-15D
15-15D/A |
Certification of termination of registration of a class of Security under Section 12(g) or notice of suspension of duty to file reports pursuant to Section 13 and 15(d) of the Act Section 12(b). |
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N-8A |
N-8A
N-8A/A |
Notification of registration under section 8(a) |
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N-8B-2 |
N-8B-2
N-8B-2/A |
Registration statement for unit investment trusts |
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N-8B-3 |
N-8B-3
N-8B-3/A |
Registration statement for periodic payment Plans |
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N-8B-4 |
N-8B-4
N-8B-4/A |
Registration statement for face-amount certificate companies |
| Registrations (Trading) |
Form 10 |
10-12B
10-12B/A
10-12G
10-12G/A |
10-12B and 10-12B/A are general registration filings of securities pursuant to section 12(b) of the SEC Act.
10-12G and 10-12G/A are general registration filings of securities pursuant to section 12(g) of the SEC Act. |
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10-SB |
10SB12B
10SB12B/A |
Filed for the registration of securities for small business pursuant to section 12(b) of the SEC Act. |
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10SB12G
10SB12G/A |
Filed for the registration of securities for small business pursuant to section 12(g) of the SEC Act. |
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8-A |
8-A12B
8-A12B/A
8-A12G
8-A12G/A
8-A12BT
8-A12BT/A |
Filing used to register additional securities or classes of securities. |
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8A12BEF |
Registration of listed debt securities pursuant to section 12(b) - filing to become effective automatically upon filing. |
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8-B |
8-B12B
8-B
8-B/A
8-B12B/A
8-B12G
8-B12G/A |
Used by successor issues -- generally companies that have changed their name or state of incorporation -- as notification that previously registered securities are to be traded under a new corporate identify. |
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20F |
20FR12B
20FR12G
20FR12B/A
20FR12G/A
20-F
20-F/A
NT 20-F
NTN 20-F
NTN 20-F/A |
Registration/annual report filed by certain foreign issuers of securities trading in the U.S. |
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Form 18 |
18-12B
8-12G
18-12B/A
18-12G/A |
Registration filed by certain foreign issuers of securities trading in the U.S. |
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RW |
RW |
Registration withdrawal. |
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AW |
AW |
Amendment withdrawal. |
| Prospectuses |
Prospectuses |
424A
424B
424B1
424B2
424B3
424B4
424B5
424B6
424B7
424E
429
45B-3
45B-3/A
485A24E
485A24F
485APOS
485B24E
485B24F
485BPOS
486A24E
486A24F
486APOS
486B24E
486B24F
486BPOS
487
485BXT
485BXTE
485BXTF
497
497H2
497J
497K1
497K2
497K3A
497K3B |
When the sale of securities is proposed in an offering registration statement, changes required by the SEC are incorporated into the Prospectus. |
| Public Utility Holding Act |
U-1 |
U-1
U-1/A
POS AMC |
Application or declaration under the act. |
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U-13-1 |
U-13-1
U-13-1/A |
Application for approval of mutual service company filed pursuant to Rule 88. |
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U-3A3-1 |
U-3A3-1
U-3A3-1/A |
Twelve-month statement by bank claiming exemption from provisions of the act pursuant to Rule 3. |
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U-7D |
U-7D
U-7D/A |
Certificate concerning lease of a utility facility filed pursuant to Rule 7(d). |
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U-R-1 |
U-R-1
U-R-1/A |
Declaration as to solicitation filed pursuant to Rule 62. |
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45B-3 |
45B-3
45B-3/A |
Transitional statement concerning extensions of credit filed pursuant to Rule 45(b)(3). |
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35 APP |
35-APP
35-APP/A |
Statement concerning proposed transaction for which no form of application is prescribed filed pursuant to Rule 20(e). |
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35-CERT |
35-CERT
35-CERT/A |
Certificate concerning terms and conditions filed pursuant to Rule 24. |
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U-13-60 |
U-13-60
U-13-60/A |
Annual report for mutual and subsidiary service companies filed pursuant to Rule 94. |
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U-3A-2 |
U-3A-2
U-3A-2/A |
Statement by holding company claiming exemption from provisions of the act pursuant to Rule 2. |
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U-6B-2 |
U-6B-2
U-6B-2/A |
Certificate of notification of security issue, renewal or guaranty filed pursuant to. Rule 20(d) |
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U5A |
U5A
U5A/A |
Notification of registration filed under section 5(a) of the act. |
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U5B |
U5B
U5B/A |
Registration statement filed under section 5 of the act. |
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U5S |
U5S
U5S/A |
Annual report for holding companies registered pursuant to section 5 of the act. |
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U-12(I)A |
U-12-IA
U-12-IA/A |
Statement pursuant to section 12(i) of the Act by person Employed or retained by a registered holding company or a subsidiary thereof. |
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U-12(I)B |
U-12-IB
U-12-IB/A |
Annual statement pursuant to section 12(i) of the Act by person regularly employed or retained by a registered holding company or a subsidiary thereof. |
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U-13E-1 |
U-13E-l
U-13E-l/A |
Report by affiliate service companies or independent service companies filed pursuant to Rule 95 Initial filing Amendments. |
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U-33-S |
U-33-S
U-33-S/A |
Annual report Concerning Foreign Utility Companies pursuant to Section 33(e) of the Act Initial filing Amendments. |
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U-57 |
U-57
U-57/A |
Notification of Foreign Utility Company Status under Section 33(a)(2) of the act. |
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U-9C-3 |
U-9C-3
U-9C-3/A |
Submission type used by public utility holding companies |
| Insider Filings |
|
3
3/A |
Initial insider filing |
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|
4
4/A |
Subsequent insider filing |
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|
5
5/A |
Annual insider filing |
| Post Effective Amendments |
|
POS AM
POS AMC
POS AMI |
Post effective amendments |
| Delaying Amendment |
DEL AM |
DEL AM |
Delaying amendment |
| Reports Mailed to Shareholders |
N-30D |
N-30D
N-30D/A
N-30B-2 |
Annual and semi-annual reports mailed to shareholders Periodic and interim reports mailed to shareholders |
| Trust Indenture Act |
305B2 |
305B2
305B2/A |
Filings pursuant to the trust indenture act |
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T-3 |
T-3
T-3/A |
Filings pursuant to the trust indenture act |
| Other Forms |
10-C |
10-C
10-C/A |
Report by issuer of securities quoted on NASDAQ interdealer quotation system, pursuant to section 13 or 15(d) |
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11-K |
11-K
11-K/A
11-KT
11-KT/A
NT 11-K |
Annual report of employee stock purchase plans, savings and similar. Pursuant to rule 13a-10 or 15d-10 |
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13F-E |
13F-E
13F-E/A
13F
13F/A.0
13FCON
13FCON/A
13FCONP
13F-HR/A
13F-NT/A
13-FE
13-FE/A |
Quarterly reports filed by institutional managers |
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N-18F-1 |
N-18F-1
N-18F1/A |
Notification of election pursuant to Rule 18f-1 |
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N-23C-1 |
N-23C-1
N-23C-1/A
N-23C-2
N-23C-2/A
N-23C3A
N-23C3A/A
N-23C3B
N-23C3B/A
N-23C3C
N-23C3C/A |
Reports by closed-end investment companies of purchase of their own securities |
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18-K |
18-K
18-K/A |
Annual report for foreign governments and political subdivisions |
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|
ARS |
Annual Report to Shareholders |
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N-27D-1 |
N-27D-1
N-27D-1/A |
Accounting for segregated trust accounts |
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N-30D |
N-30B-2
N-30D
N-30D/A |
Annual and semi-annual reports mailed to shareholders |
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N-54A |
N-54A
N-54A/A |
Notification of election by business development companies |
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N-54C |
N-54C
N-54C/A |
Notification of withdrawal by business development companies |
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N-6C9 |
N-6C9
N-6C9/A |
Exemptions for foreign banks under Rule 6(c)9(c) |
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6-F |
N-6F
N-6F/A |
Notice of intent by business development companies to elect to be subject to sections 55 through 65 of the 1940 act |
