Common SEC Reports you should know

Top Five Common SEC Reports you should know

Recently, investment has become a trend. New ventures are now opening doors for interested parties to come and invest with them. Through SEC reports, individuals can find everything about public traded companies they intend to give a shot. With the SEC filings, it’s easy to predict the company’s performance and hence, the decision to invest. Without saying much, here are is the most common SEC report that every business and investor should have at the back of their head. 

1. Form 10-K

Form 10-K is one of the most crucial documents for both the company and any interested investor. It’s usually a report that you should look for when you want to have a preliminary evaluation of a specific company. It comprises the company’s results, financial statements, and crucial management discussions. Public traded companies are expected to file this report with the government agency within three months after the end of a fiscal year. 

2. Form 10-Q

Often, form 10-Q is usually mistaken for the 10-K report. Well, the two statements are somewhat similar, but the 10-Q report is generally filed quarterly. A publicly-traded company is supposed to file this report with SEC agency within 45 days after the end of each quarter. Although an interested investor can utilize these reports, they contain less detail about the outlook and operations of the company. 

3. Form 8-K

Companies, both small and large, are often faced by events. Some events are good, while others are a misery. Form 8-K is the report where you can find all the unscheduled events taking place in the company. The document is vital for shareholders and investors. The document contains info such as the resignation or appointment of a top official, bankruptcy or liquidation of assets. It goes ahead to give details about the events such as data tables and press releases. 

4. Form S-1

Form S-1 is the first document that every public traded company should provide to an incoming investor. Why is form S-1 that important? Well, when it comes to investment, it means placing your money on a company and earns returns when the company gains profit. As an investor, you need to know how the company intends to use your funds. That’s where form S-1 comes in the picture.

In addition to how the company wants to use your funds, the report also gives info about the business model, competition and the shares issued. Also, it’s from the report that you find the risk factors and offering price methodology. With this form, it’s usually easy to make a sound decision when it comes to investing with a given company. 

5. Form 3,4, and 5

These reports are what investors look after when they are interested in knowing how the ownership and purchase of shares take place within the company’s executives. For instance, form 3 usually indicates all the ownership amounts. Form 4 goes ahead to point out the changes within the ownership structure of the company in question. As per the government regulation, form 4 must be filed within ten days after the month of transaction. Form 5, on the other end, is a summary of form 4. It includes all the info that has been included in document 4. 


SEC reports are vital, and every public-traded company should heed to their deadlines. It’s through these reports that the government can maintain a stable investment market. Listed in this article are some of the most common forms that you ought to know as an investor or an upcoming company. Read through the entire piece to understand in detail about every report.

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