SEC Forms

As of 09/29/2023

Indus: 33,508 -158.84 -0.5%

Trans: 14,969 -17.13 -0.1%

Utils: 817 +1.02 +0.1%

Nasdaq: 13,219 +18.04 +0.1%

S&P 500: 4,288 -11.65 -0.3%

YTD

+1.1%

+11.8%

-15.6%

+26.3%

+11.7%

Targets Overview: 09/15/2023

34,500 or 33,150 by 10/15/2023

15,500 or 14,200 by 10/15/2023

880 or 800 by 10/15/2023

13,750 or 12,700 by 10/15/2023

4,425 or 4,175 by 10/15/2023

Chart Pattern Indicator:

on 9/29/23

As of 09/29/2023

Indus: 33,508 -158.84 -0.5%

Trans: 14,969 -17.13 -0.1%

Utils: 817 +1.02 +0.1%

Nasdaq: 13,219 +18.04 +0.1%

S&P 500: 4,288 -11.65 -0.3%

YTD

+1.1%

+11.8%

-15.6%

+26.3%

+11.7%

Targets Overview: 09/15/2023

34,500 or 33,150 by 10/15/2023

15,500 or 14,200 by 10/15/2023

880 or 800 by 10/15/2023

13,750 or 12,700 by 10/15/2023

4,425 or 4,175 by 10/15/2023

Chart Pattern Indicator:

on 9/29/23

Bulkowski on SEC Forms

This article discusses forms required by the Securities and Exchange Commission.

SEC Forms and What They Tell You

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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