SEC Forms
Filings where you can gather excellent information
The following is a short description of some common
corporate filings made with the SEC and available
through the SEC's EDGAR system.
Click
here to
visit the SEC's EDGAR system.
Forms 3, 4 and 5
Every director,
officer or owner of more than ten percent of a class
of equity securities registered under Section 12
of the '34 Act must file with the Commission a statement
of ownership regarding such security. The initial
filing is on Form 3 and changes are reported on
Form 4. The Annual Statement of beneficial ownership
of securities is on Form 5. The forms contain information
on the reporting person's relationship to the company
and on purchases and sales of such equity securities.
These are important as they report what the "insiders"
hold. As we've mentioned, many will have to file
a Form 144 which allows them to publicly report
that they are seeling with an exemption to registration.
They will then have to file their Form 4 to update
their holdings.
Form 8-K
This is the "current report" that
is used to report the occurrence of any material
events or corporate changes which are of importance
to investors or security holders and previously
have not been reported by the registrant. It provides
more current information on certain specified events
than would Forms 10-Q or 10-K.
Form
10-K
This is the annual report
that most reporting companies file with the Commission.
It provides a comprehensive overview of the registrant's
business. The report must be filed within 90 days
after the end of the company's fiscal year.
Form 10-Q
The Form 10-Q
is a report filed quarterly by most reporting companies.
It 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.
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