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Some Common SEC Forms You Will See
The following is a short description of some common corporate
filings made with the SEC and available through the SEC's EDGAR
system.
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.
