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.