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.

Shareholder Meetings

  • 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.

Insider Transactions

  • 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.

Public Offerings

  • 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
    capital.
  • 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.