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SEC forms field guide

Ten SEC filings worth knowing

Understand what each filing communicates, when it appears and where it fits in a data product.

Periodic reports

Form 10-KAnnual business, risks, audited statements and MD&A.→Form 10-QQuarterly performance and material changes since the last annual report.→

Events & ownership

Form 8-KMaterial events disclosed between periodic reports.→Form 4Changes in beneficial ownership by directors, officers and relevant holders.→Form 13FQuarterly holdings reported by qualifying institutional investment managers.→Schedule 13D/GSignificant beneficial ownership above 5%, with active versus passive intent.→

Offerings & governance

Form S-1Core IPO and securities-registration disclosure for US issuers.→DEF 14AGovernance, executive compensation and matters submitted to shareholder vote.→

Foreign issuers

Form 20-FAnnual disclosure for foreign private issuers, broadly analogous to Form 10-K.→Form 6-KCurrent information furnished by foreign private issuers between annual reports.→