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5 SEC Filings and What They Mean

The SEC is an independent government body established by the Securities Exchange Act of 1934. It was created in order to restore investor confidence following the stock market crash of 1929. The agency is tasked with maintaining a fair market, protecting investors and facilitating access to capital. #LearnArticleSpotlight #SECFilings

Main Types of SEC Filings

There are a number of forms that the SEC requires companies to provide on a quarterly and annual basis, as well as when certain events happen, such as a stock split or a board member is appointed. Here are some of the main types of SEC filings that retail investors should know:

  1. Form 10-K: The Form 10-K is an annual audited report filed by companies. It contains an overview of the company’s financial statements over the past year, as well as any forward-looking statements. While it can overlap with a company’s annual report, it’s a different document. The annual report may include some but not all of the same information and usually includes charts and graphics.
  2. Form 10-Q: The 10-Q is similar to the 10-K but is filed on a quarterly basis. It includes financial statements and information on an ongoing basis. It’s filed for the first three quarters of the fiscal year (the 10-K is filed for the last quarter). Companies have until 40 days after the last day of the quarter to submit their 10-Qs.
  3. Form 8-K: When an unscheduled yet important event arises, companies inform investors by filing a Form 8-K. This could include the resignation of an executive, appointment of a new executive or board member, bankruptcy, completion of an acquisition, or anything that has a material impact on the company.
  4. Proxy statement: Before board meetings, companies will file a proxy statement with the SEC. This includes information that will be discussed at the meeting, such as the items to be voted on, compensation of executives, and the structure and pay of the board of directors.
  5. Schedule 13D: If a shareholder buys more than 5% of the company, they are required to report a Schedule 13D within 10 days. It must include the buyer’s name and address, the amount and type of shares, the relationship with the company, why the transaction is happening, and other detailing information.

Where to Find SEC Filings

Learn more about each of these filings and finish reading this #Learn article here.


The above content provided and paid for by Public and is for general informational purposes only. It is not intended to constitute investment advice or any other kind of professional advice and should not be relied upon as such. Before taking action based on any such information, we encourage you to consult with the appropriate professionals. We do not endorse any third parties referenced within the article. Market and economic views are subject to change without notice and may be untimely when presented here. Do not infer or assume that any securities, sectors or markets described in this article were or will be profitable. Past performance is no guarantee of future results. There is a possibility of loss. Historical or hypothetical performance results are presented for illustrative purposes only.

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