Written and copyright © 2010 by Thomas N. Bulkowski. All rights reserved.
This article discusses forms required by the Securities and Exchange Commission.
When I was doing Dutch auction tender offers, I checked form TO-I. Why? Because that's the SEC form companies use to announce their surprises. Here's a list of forms
you may find useful when researching a company. You can go to the SEC website to search for forms and schedules.
SEC
Form | Description | Filing Deadline |
| 3 | First time insider transactions: Initial statement of beneficial ownership of securities | 10 days after transaction |
| 4 | Insider transactions: Statement of changes in beneficial ownership of securities | Before 2nd business day after transaction |
| 5 | Annual statement of changes in beneficial ownership of securities | 45 days after fiscal year ends |
| 8-K | Shows any material information about the company | 4 days after event |
| 10-K | Annual report | 60-90 days after fiscal year end |
| 10-Q | Quarterly report | 40-45 days after quarter ends |
| 13D | Reports acquisition of beneficial ownership of 5% or more of a class of stock | 10 days after exceeding 5% ownership |
| 13F | Quarterly report filed by institutional managers | 45 days after fiscal quarter ends |
| 13G | Reports acquisition of beneficial ownership of 5% or more of a class of stock by passive investors and certain institutions. | 45 days after calendar year end. |
| 144 | Proposed sale of securities | ? |
| 40-33 | Stockholder lawsuits against an investment company or affiliate. | ? |
| NT ... | Notice of failure to timely file a report, such as NT 10-K, NT 10-Q, and so on. | ? |
| TO-I | Company offers to buy back shares (issuer tender offer) | ? |
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