SEC Form Types

Browse and learn about the different types of SEC filings.

Popular Forms

10-K

Annual report pursuant to Section 13 or 15(d)

Form 10-KSecurities Exchange Act of 1934

10-Q

General form for quarterly reports under Section 13 or 15(d)

Securities Exchange Act of 1934Public Companies

8-K

Current report pursuant to Section 13 or 15(d)

Securities Exchange Act of 1934Public Companies

4

Statement of changes in beneficial ownership of securities

DirectorsOfficers

3

Initial statement of beneficial ownership of securities

DirectorsOfficers

5

Annual statement of changes in beneficial ownership of securities

DirectorsOfficers

13F

Information required of institutional investment managers pursuant to Section 13(f)

Securities Exchange Act of 1934

13F-HR

Institutional investment holdings report

Securities Exchange Act of 1934

SCHEDULE 13D

Filed when an individual or group acquires more than 5% of a company's voting stock, disclosing ownership stake and intentions

SCHEDULE 13G

Reports when an investor gains ownership of more than 5% of a company's stock (shorter version of Schedule 13D)

144

Notice of proposed sale of securities pursuant to Rule 144

Securities Act of 1933Investors

S-1

Registration statement under Securities Act of 1933

Securities Act of 1933Public Companies

S-4

Registration statement under Securities Act of 1933

Securities Act of 1933Public Companies

S-8

Registration statement for securities to be offered to employees pursuant to certain plans

Securities Act of 1933Public Companies

DEF 14A

Definitive proxy statements

1-A

Regulation A Offering Statement

Securities Act of 1933Small Businesses

1-K

Annual Reports and Special Financial Reports

Securities Act of 1933Small Businesses

10-D

Asset-Backed Issuer Distribution Report Pursuant to Section 13 or 15(d)

Securities Exchange Act of 1934

11-K

Annual reports of employee stock purchase, savings and similar plans pursuant to Section 15(d)

Securities Exchange Act of 1934Public Companies

12b-25

Notification of late filing

Securities Exchange Act of 1934Public Companies

20-F

Registration statement / Annual report / Transition report

Securities Exchange Act of 1934Public Companies

6-K

Report of foreign private issuer pursuant to Rule 13a-16 or 15d-16

Securities Exchange Act of 1934Public Companies

8-A

Registration of certain classes of securities pursuant to Section 12(b) or (g)

Securities Exchange Act of 1934Public Companies

F-1

Registration statement for securities of certain foreign private issuers

Securities Act of 1933International

F-3

Registration statement for securities of certain foreign private issuers

Securities Act of 1933International

F-4

Registration statement for securities issued in business combination transactions

Securities Act of 1933International

N-PORT

Monthly Portfolio Investments Report

Investment Company Act of 1940Investment Companies

N-CSR

Certified shareholder report of registered management investment companies

Investment Company Act of 1940Investment Companies

PF

Reporting Form for Investment Advisers to Private Funds

Investment Advisers Act of 1940Investment Advisers

SD

Specialized Disclosure Report

Securities Exchange Act of 1934Public Companies

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About SEC Forms

SEC forms are standardized documents that public companies, insiders, and institutional investors must file with the Securities and Exchange Commission. These filings provide transparency and help investors make informed decisions.

View complete SEC forms list