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SEC Form Types Primer -- Alphabetical Listing

View This List By Securities Act

Form Description
‑MEF Filings Registration pursuant to Securities Act Rule 462(b) of up to an additional 20% of securities for an offering. Applies to 1933 Act registration forms S-1, S-2, S-3, S-11, SB-1, SB-2, F-1, F-2, and F-3.
Form 1‑A Regulation A provides the basis for an exemption for certain small offerings (generally up to $5 million in any twelve month period). Companies selling securities in reliance on a Regulation A exemption from the registration provisions of the 1933 Act must provide investors with an offering statement meeting the requirements of Form 1-A.
Form 10 This is the general form for registration of securities pursuant to section 12(b) or (g) of the '34 Act of classes of securities of issuers for which no other form is prescribed. It requires certain business and financial information about the issuer.
Form 10‑C This form must be filed by an issuer whose securities are quoted on the Nasdaq interdealer quotation system. Reported on the form is any change that exceeds five percent in the number of shares of the class outstanding and any change in the name of the issuer. The report must be filed within ten days of such change.
Form 10‑K This is the annual report that most reporting companies file with the Commission. It provides a comprehensive overview of the registrant's business. The report must be filed within 90 days after the end of the company's fiscal year.
Form 10‑KSB This is the annual report filed by reporting "small business issuers." It provides a comprehensive overview of the company's business, although its requirements call for slightly less detailed information than required by Form 10-K. The report must be filed within 90 days after the end of the company's fiscal year.
Form 10‑Q The Form 10-Q is a report filed quarterly by most reporting companies. It includes unaudited financial statements and provides a continuing view of the company's financial position during the year. The report must be filed for each of the first three fiscal quarters of the company's fiscal year and is due within 45 days of the close of the quarter.
Form 10‑QSB The Form 10-QSB is filed quarterly by reporting small business issuers. It includes unaudited financial statements and provides a continuing view of the company's financial position and results of operations throughout the year. The report must be filed for each of the first three fiscal quarters and is due within 45 days of the close of the quarter.
Form 10‑SB This is the general form for registration of securities pursuant to Sections 12(b) or (g) of the '34 Act for "small business issuers." This form requires slightly less detailed information about the company's business than Form 10 requires.
Form 11‑K This form is a special annual report for employee stock purchase, savings, and similar plans, interests in which constitute securities registered under the 1933 Act. The Form 11-K annual report is required in addition to any other annual report of the issuer of the securities (e.g., a company's annual report to all shareholders or Form 10-K).
Form 12b‑25 This form is used as a notification of late filing by a reporting company that determines that is unable to file a required periodic report when first due without unreasonable effort or expense. If a company files a Form 12b-25, it is entitled to relief, but must file the required report within five calendar days (for a Form 10-Q or 10-QSB) or within fifteen calendar days (for a Form 10-K, 10-KSB, 20-F, 11-K, or N-SAR).
Schedule 13‑D This Schedule discloses beneficial ownership of certain registered equity securities. Any person or group of persons who acquire a beneficial ownership of more than 5% of a class of registered equity securities of certain issuers must file a Schedule 13D reporting such acquisition together with certain other information within ten days after such acquisition. Moreover, any material changes in the facts set forth in the Schedule generally precipitates a duty to promptly file an amendment on Schedule 13D.

The Commission's rules define the term "beneficial owner" to be any person who directly or indirectly shares voting power or investment power (the power to sell the security).

Schedule 13‑G Schedule 13G is a much abbreviated version of Schedule 13D that is only available for use by a limited category of "persons" (such as banks, broker/dealers, and insurance companies) and even then only when the securities were acquired in the ordinary course of business and not with the purpose or effect of changing or influencing the control of the issuer.
Schedule 13E‑3 This schedule must be filed by certain persons engaging in "going private" transactions. The schedule must be filed by any company or an affiliate of a company who engages in a business combination, tender offer, or stock purchase that has the effect of causing a class of the company's equity securities registered under the 1934 Act (1) to be held by fewer than 300 persons, or (2) to be de-listed from a securities exchange or inter-dealer quotation system. The filer must disclose detailed information about the transaction, including whether the filer believes the transaction to be fair.
Schedule 13E‑4 This schedule (called an Issuer Tender Offer Statement) must be filed by certain reporting companies that make tender offers for their own securities. In addition, Rule 13e-4 under the 1934 Act imposes additional requirements than an issuer must comply with when making an issuer tender offer.
Schedule 13E‑4F This schedule may be used by a Canadian foreign private issuer that makes an issuer tender offer for its equity shares (provided that U.S. holders hold less than 40 percent of the class of shares subject to the offer). It serves as a wraparound for the relevant Canadian disclosure documents. The Canadian issuer must comply with relevant Canadian tender offer regulations.
Form 13F This is a quarterly report of equity holdings by institutional investment managers having equity assets under management of $100 million or more. Included in this category are certain banks, insurance companies, investment advisers, investment companies, foundations and pension funds.
Form 144 This form must be filed as notice of the proposed sale of restricted securities or securities held by an affiliate of the issuer in reliance on Rule 144 when the amount to be sold during any three month period exceeds 500 shares or units or has an aggregate sales price in excess of $10,000.
Schedule 14C Schedule 14C sets forth the disclosure requirements for information statements. Generally, a company with securities registered under Section 12 of the '34 Act must send an information statement to every holder of the registered security who is entitled to vote on any matter for which the company is not soliciting proxies. (If the company solicits proxies, Regulation 14C/Schedule 14A may be required.)
Schedule 14D‑1 (Obsolete) Any person, other than the issuer itself (see Schedule 13E-4), making a tender offer for certain equity securities registered pursuant to Section 12 of the '34 Act, which offer, if accepted, would cause that person to own over 5 percent of that class of the securities, must at the time of the offer file a Schedule 14D-1. This schedule must be filed with the Commission and sent to certain other parties, such as the issuer and any competing bidders. In addition, Regulation 14D sets forth certain requirements that must be complied with in connection with a tender offer.
Schedule 14D‑1F (Obsolete) Any person making a tender offer for securities of a Canadian foreign private issuer may use this schedule if U.S. holders hold less than 40 percent of the class of securities that is the subject of the offer and if the bidder extends the tender offer to U.S. holders on terms that are at least as favorable as those extended to any other holder. The schedule serves as a wraparound for the relevant Canadian disclosure documents. In addition, the tender offer must comply with relevant Canadian requirements.
Schedule 14D‑9 This schedule must be filed with the Commission when an interested party, such as an issuer, a beneficial owner of securities, or a representative of either, makes a solicitation or recommendation to the shareholders with respect to a tender offer which is subject to Regulation 14D.
Schedule 14D‑9F Schedule 14D-9F may be used by a Canadian foreign private issuer or by any of its directors or officers when the issuer is the subject of a tender offer filed on Schedule 14D-1F. The schedule is used to respond to tender offers. The schedule serves as a wraparound for the relevant Canadian disclosure documents. In addition, the filer must comply with all relevant Canadian requirements.
Form 15 This form is filed by a company as notice of termination of registration under Section 12(g) of the '34 Act, or suspension of the duty to file periodic reports under Sections 13 and 15(d) of the '34 Act.
Form 18 This form is used for the registration on a national securities exchange of securities of foreign governments and political subdivisions thereof.
Form 18‑K This form is used for the annual reports of foreign governments or political subdivisions thereof.
Form 20‑F This is an integrated form used both as a registration statement for purposes of registering securities of qualified foreign private issuers under Section 12 or as an annual report under Section 13(a) or 15(d) of the '34 Act.
Forms 3,4,5 Every director, officer or owner of more than ten percent of a class of equity securities registered under Section 12 of the '34 Act must file with the Commission a statement of ownership regarding such security. The initial filing is on Form 3 and changes are reported on Form 4. The Annual Statement of beneficial ownership of securities is on Form 5. The forms contain information on the reporting person's relationship to the company and on purchases and sales of such equity securities.
Form 40‑F This is an integrated form used both as a registration statement to register securities of eligible publicly traded Canadian foreign private issuers or as an annual report for such issuers. It serves as a wraparound for the company's Canadian public reports.
Form 424A Prospectus statement filed pursuant to Rule 424(a).
Form 424B1 Prospectus statement filed pursuant to Rule 424(b)(1).
Form 424B2 Prospectus statement filed pursuant to Rule 424(b)(2).
Form 424B3 Prospectus statement filed pursuant to Rule 424(b)(3).
Form 424B4 Prospectus statement filed pursuant to Rule 424(b)(4).
Form 424B5 Prospectus statement filed pursuant to Rule 424(b)(5).
Form 424B7 Prospectus statement filed pursuant to Rule 424(b)(7).
Form 6‑K This report is used by certain foreign private issuers to furnish information: (i) required to be made public in the country of its domicile; (ii) filed with and made public by a foreign stock exchange on which its securities are traded; or (iii) distributed to security holders. The report must be furnished promptly after such material is made public. The form is not considered "filed" for Section 18 liability purposes. This is the only information furnished by foreign private issuers between annual reports, since such issuers are not required to file on Forms 10-Q or 8-K.
Form 8‑A This optional short form may be used by companies to register securities under the '34 Act.
Form 8‑B This specialized registration form may be used by certain issuers with no securities registered under the'34 Act that succeed to another issuer which had securities so registered at the time of succession.
Form 8‑K This is the "current report" that is used to report the occurrence of any material events or corporate changes which are of importance to investors or security holders and previously have not been reported by the registrant. It provides more current information on certain specified events than would Forms 10-Q or 10-K.
Form ADV This form is used to apply for registration as an investment adviser or to amend a registration. It consists of two parts. Part I contains general and personal information about the applicant. Part 11 contains information relating to the nature of the applicant's business, including basic operations, services offered, fees charged, types of clients advised, educational and business backgrounds of associates and other business activities of the applicant.
Form ADV‑S This is an annual supplement to Form ADV required to be filed by persons registered as investment advisers with the Commission. It must be filed not later than 90 days after the end of the registrant's fiscal year.
Form ARS The Annual Report to Shareholders (Form ARS) is the principal document used by most public companies to disclose corporate information to shareholders. It is usually a state-of-the-company report including an opening letter from the Chief Executive Officer, financial data, results of continuing operations, market segment information, new product plans, subsidiary activities and research and development activities on future programs.
Schedule B Schedule B is the registration statement used by foreign governments (or political subdivisions of foreign governments) to register securities. Generally, it contains a description of the country and its government, the terms of the offering, and the uses of proceeds.
Form BD This form is used to apply for registration as a broker or dealer of securities, or as a government securities broker or dealer, and to amend a registration. It provides background information on the applicant and the nature of its business. It includes lists of the executive officers and general partners of the company. It also contains information on any past securities violations.
Form CT ORDER SEC Order granting confidential treatment.
Form D Companies selling securities in reliance on a Regulation D exemption or a Section 4(6) exemption from the registration provisions of the '33 Act must file a Form D as notice of such a sale. The form must be filed no later than 15 days after the first sale of securities.
DEF 14A All other definitive proxy solicitations
DEF 14C All other definitive information statements
DEFC14A Definitive contested proxy solicitation
DEFC14C Definitive information statements for contested solicitations
DEFM14A Definitive proxy statements relating to merger or acquisition
DEFM14C Definitive information statements relating to merger or acquisition
DEFN14A Definitive non-management proxy statements not involving contested solicitations
DEFR14A Definitive revised proxy soliciting materials
DEFR14C Definitive revised information statements
DEFS14A Definitive special meeting proxy
DEFS14C Definitive information statements for special meetings
DFRN14A Definitive revised non-management proxy soliciting materials for both contested solicitations and other situations
Form F‑1 This is the basic registration form authorized for certain foreign private issuers. It is used to register the securities of those eligible foreign issuers for which no other more specialized form is authorized or prescribed.
Form F‑10 This form may be used by eligible large publicly traded Canadian foreign private issuers to register any securities (except certain derivative securities). Form F-10 acts as a wraparound for the relevant Canadian offering documents. Unlike Forms F-7, F-8, F-9, and F-80, however, Form F-10 requires the Canadian issuer to reconcile its financial statements to U.S. Generally Accepted Accounting Principles ("GAAP").
Form F‑2 This is an optional registration form that may be used by certain foreign private issuers that have an equity float of at least $75 million worldwide or are registering non-convertible investment grade securities or have reported under the '34 Act for a minimum of three years. The form is somewhat shorter than Form F-1 because it uses delivery of filings made by the issuer under the '34 Act, particularly Form 20-F.
Form F‑3 This form may only be used by certain foreign private issuers that have reported under the '34 Act for a minimum of twelve months and that have a worldwide public market float of more than $75 million. The form also may be used by eligible foreign private issuers to register offerings of non-convertible investment grade securities, securities to be sold by selling security holders, or securities to be issued to certain existing security holders. The form allows '34 Act filings to be incorporated by reference.
Form F‑4 This form is used to register securities in connection with business combinations and exchange offers involving foreign private issuers.
Form F‑6 This form is used to register depository shares represented by American Depositary Receipts ("ADRs") issued by a depositary against the deposit of the securities of a foreign issuer.
Form F‑7 This form is used by certain eligible publicly traded Canadian foreign private issuers to register rights offers extended to their U.S. shareholders. Form F-7 acts as a wraparound for the relevant Canadian offering documents. To be registered on Form F-7, the rights must be granted to U.S. shareholders on terms no less favorable than those extended to other shareholders.
Form F‑8 This form may be used by eligible large publicly traded Canadian foreign private issuers to register securities offered in business combinations and exchange offers. Form F-8 acts as a wraparound for the relevant Canadian offering or disclosure documents. The securities must be offered to U.S. holders on terms no less favorable than those extended to other holders.
Form F‑80 This form may be used by eligible large publicly traded Canadian foreign private issuers to register securities offered in business combinations and exchange offers. Form F-80 acts as a wraparound for the relevant Canadian offering or disclosure documents. The securities must be offered to U.S. holders on terms no less favorable than those extended to other holders.
Form F‑9 This form may be used by eligible large publicly traded Canadian foreign private issuers to register non-convertible investment grade securities. Form F-9 acts as a wraparound for the relevant Canadian offering documents.
Form MSD This report is used by a bank or a separately identifiable department or division of a bank to apply for registration as a municipal securities dealer with the SEC, or to amend such registration.
Form N‑14 This form is used to register securities issued by investment companies in connection with business combinations and mergers (1933 Act only).
Form N‑1A This form is used to register open-end management investment companies ("mutual funds").
Form N‑2 This form is used to register closed-end management investment companies ("closed-end funds").
Form N‑3 This form is used to register insurance company separate accounts organized as management investment companies offering variable annuity contracts.
Form N‑4 This form is used to register insurance company separate accounts organized as unit investment trusts offering variable annuity contracts.
Form N‑SAR This is a report to the Commission filed by registered investment companies on a semi-annual and annual basis, at the end of the corresponding fiscal periods. Unit investment trusts, however, are required to file this form only once a year, at the end of the calendar year.
Form POS AM Post-effective amendments to provide updated prospectus information.
Form POS EX Post-effective amendment filed solely to add exhibits to a registration statement.
Form POS462C Post-effective amendment to a registration statement filed under Rule 462(c).
PRE 14A All other preliminary proxy solicitations
PRE 14C All other preliminary information statements
PREC14A Preliminary contested proxy solicitation
PREC14C Preliminary information statements for contested solicitations
PREM14A Preliminary proxy solicitation relating to merger or acquisition
PREM14C Preliminary information statements relating to merger or acquisition
PREN14A Preliminary non-management proxy statements not involving contested solicitations
PRER14A Preliminary revised proxy soliciting materials
PRER14C Preliminary revised information statements
PRES14A Preliminary special meeting proxy
PRES14C Preliminary information statements for special meetings
PRRN14A Preliminary revised non-management proxy soliciting materials for both contested solicitations and other situations
Form S‑1 This is the basic registration form. It can be used to register securities for which no other form is authorized or prescribed, except securities of foreign governments or political sub-divisions thereof.
Form S‑11 This form is used to register securities of certain real estate companies, including real estate investment trusts.
Form S‑2 This is a simplified optional registration form that may be used by companies that have been required to report under the '34 Act for a minimum of three years and have timely filed all required reports during the 12 calendar months and any portion of the month immediately preceding the filing of the registration statement. Unlike Form S-1, it permits incorporation by reference from the company's annual report to stockholders (or annual report on Form 10-K) and periodic reports. Delivery of these incorporated documents as well as the prospectus to investors may be required.
Form S‑20 This form may be used to register standardized options where the issuer undertakes not to issue, clear, guarantee or accept an option registered on Form S-20 unless there is a definitive options disclosure document meeting the requirements of Rule 9b-1 of the '34 Act.
Form S‑3 This is the most simplified registration form and it may only be used by companies that have been required to report under the '34 Act for a minimum of twelve months and have met the timely filing requirements set forth under Form S-2. Also, the offering and issuer must meet the eligibility tests prescribed by the form. The form maximizes incorporating by reference information from '34 Act filings.
Form S‑4 This form is used to register securities in connection with business combinations and exchange offers.
Form S‑6 This form is used to register securities issued by unit investment trusts (1933 Act only).
Form S‑8 This form is used for the registration of securities to be offered to an issuer's employees pursuant to certain plans.
Form SB‑1 This form may be used by certain "small business issuers" to register offerings of up to $10 million of securities, provided that the company has not registered more than $10 million in securities offerings during the preceding twelve months. This form requires less detailed information about the issuer's business than Form S-1. Generally, a "small business issuer" is a U.S. or Canadian company with revenues and public market float less than $25 million.
Form SB‑2 This form may be used by "small business issuers" to register securities to be sold for cash. This form requires less detailed information about the issuer's business than Form S-1.
Form SH This form is used by institutional investment managers to report short sales of a Section 13(f) security.
Form SR This form is used as a report by first time registrants under the Act of sales of registered securities and use of proceeds therefrom. The form is required at specified periods of time throughout the offering period, and a final report is required after the termination of the offering.
Form T‑1 This form is a statement of eligibility and qualification of a corporation to act as a trustee under the Trust Indenture Act of 1939.
Form T‑2 This form is basically the same as Form T-1 except it is to be used for individual, rather than corporate trustees.
Form T‑3 This form is used as an application for qualification of indentures pursuant to the Trust Indenture Act of 1939, but only when securities to be issued thereunder are not required to be registered under the Securities Act of 1933.
Form T‑4 This form is used to apply for an exemption from certain provisions of the Trust Indenture Act.
Form T‑6 This form is used by a foreign corporation as an application to act as sole trustee under an indenture qualified under the Trust Indenture Act.
Form TA‑1 This form is used to apply for registration as a transfer agent or to amend such registration. It provides information on the company's activities and operation.
Schedule TO‑C Written communication relating to an issuer or third party tender offer
Schedule TO‑I Tender offer statement by Issuer
Schedule TO‑T Tender offer statement by a third-party
Form X‑17A‑5 Every broker or dealer registered pursuant to Section 15 of the Exchange Act must file annually, on a calendar or fiscal year basis, a report audited by an independent public accountant.