SEC Filing Types Explained
Every major SEC form, what it means, who files it, and what questions it answers.
The 10-K is the most comprehensive annual report a public company files with the SEC. It covers the full fiscal year and...
The 10-Q is a quarterly financial report that public companies file three times per year (for Q1, Q2, and Q3 — the fourt...
An 8-K is a "current report" filed whenever a public company experiences a material event that shareholders need to know...
The DEF 14A (Definitive Proxy Statement) is filed before a company's annual shareholder meeting. It contains everything...
The S-1 is the registration statement a company files with the SEC when it intends to go public. It is the most detailed...
Form 4 is filed by corporate insiders — directors, executive officers, and shareholders owning more than 10% of a compan...
Form 13F-HR is filed quarterly by large institutional investment managers — hedge funds, mutual funds, pension funds, an...
Schedule 13D must be filed by any person or group that acquires beneficial ownership of more than 5% of a public company...
Schedule 13G is the passive version of Schedule 13D. It is filed by investors who acquire more than 5% of a company's sh...