SEC Form Types and their glossary
Financial Information Statements
- 10-K: It is the annual financial statement filed in the SEC by the company for the prior fiscal year.
- 10-Q: It is the quarterly financial statement which has to be filed for each quarter by the company in order to meet the SEC compliance.
- 8-K: It discloses event and other information which is required to make public before the next quarterly and annual filing is made.
- PRE 14A: It is the preliminary proxy statement which is subject to review by SEC.
- DEF 14A: It is the definitive proxy statement which are sent to company’s shareholders.
- Form 3: It is the initial statement of beneficial ownership of company’s equity securities.
- Form 4: It is the Statement of changes in beneficial ownership in company’s equity securities which it has to be disclosed within 2 days of the business transaction.
- Form 5: It discloses the Annual statement of beneficial ownership in company equity securities.
Foreign Private Issuers
- F-1: It is a registration statement which indicates the offering of securities by the private issuer.
- 20-F: It is a annual report filed by the foreign filers which includes audited financial statements for the prior fiscal year.
- 6-K: It is filed in conjunction with press releases and contains information and announcements which has to be disclosed to the security holders which is mandated by the laws of home country.
- S-1: It is the Registration statement which is filed to register the offer and sale of securities to the public often in connection with an initial public offering.
- S-3: It is the Short-form registration statement which is available to certain already-reporting companies to register the offer and sale of securities to the public. It is filed if the company wants to raise an additional
- 424B[#]: It is the Prospectus containing a document disclosing information that typically comprises a large part of the registration statement.
Mutual Funds and ETF’s
- N-1A/485: It is Registration statement for mutual fund filers which includes information about a fund such as investment objectives/goals, a fee table, investment strategies, risks, and performance, advisers and portfolio
managers, purchase and sale of fund shares and tax information.
- 497K: Summary prospectus – It is a summary disclosure document which includes the key information required in the beginning of the full prospectus.
- N-PX: Proxy voting record – It Identifies specific proposals that the fund was entitled to vote on for its underlying portfolio holdings.
- N-Q: Quarterly schedule of portfolio holdings – It Includes a list of the fund’s portfolio holdings for the first and third fiscal quarters, those not reported on Form N-CSR.
- N-14: Registration statement for fund mergers – It is a disclosure document which includes information about a fund merger or other similar transaction.
Beneficial Ownership Interest
- SC 13D: Schedule 13D beneficial ownership report – It is filed when more than five percent of a class of a company’s registered voting securities is acquired by a party and it is also used to disclose any subsequent
changes to their holdings.
- SC 13G: Schedule 13G beneficial ownership report –It is filed when more than five percent of a class of a company’s registered voting securities is acquired by a party as a passive investment.
- 13F-HR: Institutional investment manager report – It is filed by institutional investment managers to disclose their holdings and any changes that occurs to them on a quarterly basis.