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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.
|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)||?|