Form guide
What each SEC form is
The forms public companies file most, in plain words, and every Form 8-K item with its official title. These describe what a form is, not what any one filing means.
Events (8-K)
Current reports: results, deals, officer changes, votes
- 8-K
- Current report
- 6-K
- Report of a foreign private issuer
Periodic reports
Annual and quarterly reports, late notices
- 10-K
- Annual report
- 10-KT
- Transition-period annual report
- 10-Q
- Quarterly report
- ARS
- Annual report to shareholders
- 11-K
- Employee stock plan annual report
- NT 10-K
- Notice of late annual report
- NT 10-Q
- Notice of late quarterly report
- NT 11-K
- Notice of late employee plan report
- 20-F
- Annual report of a foreign private issuer
Insider forms
Forms 3, 4, 5 and 144
- 3
- Initial statement of insider ownership
- 4
- Insider transaction report
- 5
- Annual insider ownership statement
- 144
- Notice of proposed sale of restricted stock
Big holders
Schedules 13D and 13G, 13F
- SC 13D
- Ownership report of a 5%+ holder (active)
- SC 13G
- Ownership report of a 5%+ holder (passive)
- SCHEDULE 13D
- Ownership report of a 5%+ holder (active)
- SCHEDULE 13G
- Ownership report of a 5%+ holder (passive)
- 13F-HR
- Institutional manager holdings report
- 13F-NT
- Institutional manager notice
Proxy and votes
Proxy statements and solicitations
- DEF 14A
- Proxy statement
- DEFA14A
- Additional proxy material
- PRE 14A
- Preliminary proxy statement
- DEFR14A
- Revised proxy statement
- DEFM14A
- Merger proxy statement
- DEF 14C
- Information statement
- PX14A6G
- Shareholder solicitation notice (exempt)
- PX14A6N
- Shareholder solicitation notice (exempt)
Securities offerings
Registrations, prospectuses, merger papers
- S-1
- Registration statement
- S-3
- Shelf registration statement
- S-3ASR
- Automatic shelf registration
- S-4
- Registration for a merger or exchange
- S-8
- Registration of employee plan shares
- S-8 POS
- Amendment to an employee plan registration
- POS AM
- Amendment to a registration statement
- POSASR
- Amendment to an automatic shelf
- FWP
- Free writing prospectus
- 424B1
- Prospectus
- 424B2
- Prospectus
- 424B3
- Prospectus
- 424B4
- Prospectus
- 424B5
- Prospectus supplement
- 424B7
- Prospectus supplement
- 425
- Merger communication
- 8-A12B
- Registration of a class of securities on an exchange
- EFFECT
- SEC notice that a registration is effective
- D
- Notice of an exempt offering
Other
Correspondence, specialised disclosures, the rest
- CORRESP
- Company letter to SEC staff
- UPLOAD
- SEC staff letter to the company
- SD
- Specialized disclosure (conflict minerals)
- 25-NSE
- Exchange notice of delisting
- 15-12G
- Notice ending registration
- 15-12B
- Notice ending registration
- IRANNOTICE
- Iran-related activity notice
- CERT
- Exchange certification
Form 8-K items
A current report (8-K) lists one or more item numbers. Official titles from SEC Form 8-K, General Instructions B.
- 1.01New material agreementEntry into a Material Definitive Agreement
- 1.02Material agreement endedTermination of a Material Definitive Agreement
- 1.03Bankruptcy or receivershipBankruptcy or Receivership
- 1.04Mine safetyMine Safety - Reporting of Shutdowns and Patterns of Violations
- 1.05Cybersecurity incidentMaterial Cybersecurity Incidents
- 2.01Acquisition or sale completedCompletion of Acquisition or Disposition of Assets
- 2.02Results announcedResults of Operations and Financial Condition
- 2.03New financial obligationCreation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant
- 2.04Obligation acceleratedTriggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement
- 2.05Exit or disposal costsCosts Associated with Exit or Disposal Activities
- 2.06Material impairmentMaterial Impairments
- 3.01Listing noticeNotice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing
- 3.02Unregistered share saleUnregistered Sales of Equity Securities
- 3.03Shareholder rights changedMaterial Modification to Rights of Security Holders
- 4.01Auditor changeChanges in Registrant's Certifying Accountant
- 4.02Past statements not to be relied onNon-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review
- 5.01Change in controlChanges in Control of Registrant
- 5.02Directors or officersDeparture of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers
- 5.03Charter, bylaws or fiscal yearAmendments to Articles of Incorporation or Bylaws; Change in Fiscal Year
- 5.04Benefit-plan trading suspendedTemporary Suspension of Trading Under Registrant's Employee Benefit Plans
- 5.05Code of ethicsAmendment to Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics
- 5.06Shell company statusChange in Shell Company Status
- 5.07Shareholder vote resultsSubmission of Matters to a Vote of Security Holders
- 5.08Director nominationsShareholder Director Nominations
- 6.01Asset-backed securitiesABS Informational and Computational Material
- 6.02Asset-backed securitiesChange of Servicer or Trustee
- 6.03Asset-backed securitiesChange in Credit Enhancement or Other External Support
- 6.04Asset-backed securitiesFailure to Make a Required Distribution
- 6.05Asset-backed securitiesSecurities Act Updating Disclosure
- 7.01Regulation FD disclosureRegulation FD Disclosure
- 8.01Other eventsOther Events
- 9.01ExhibitsFinancial Statements and Exhibits
Form 4 transaction codes
From the SEC’s Form 4 instructions (General Instruction 8).
- POpen-market or private purchase
- SOpen-market or private sale
- VVoluntarily reported transaction
- AGrant or award from the company
- DSale or transfer back to the company
- FShares withheld for tax or exercise price
- IDiscretionary plan transaction
- MOption or right exercised or converted
- CConversion of a derivative security
- EExpiration of a short derivative position
- HExpiration of a long derivative position
- OExercise of an out-of-the-money derivative
- XExercise of an in-the-money derivative
- GGift
- LSmall acquisition
- WAcquired or disposed of by will or inheritance
- ZVoting trust deposit or withdrawal
- JOther acquisition or disposition
- KEquity swap or similar
- UTendered in a change of control