As of 02/21/2024
  Indus: 38,612 +48.44 +0.1%  
  Trans: 15,582 +118.68 +0.8%  
  Utils: 854 +11.76 +1.4%  
  Nasdaq: 15,581 -49.91 -0.3%  
  S&P 500: 4,982 +6.29 +0.1%  
YTD
 +2.4%  
-2.0%  
-3.1%  
 +3.8%  
 +4.4%  
  Targets    Overview: 02/13/2024  
  Down arrow37,700 or 39,000 by 03/15/2024
  Up arrow16,400 or 15,400 by 03/01/2024
  Up arrow870 or 800 by 03/01/2024
  Down arrow15,000 or 16,400 by 03/15/2024
  Down arrow4,850 or 5,100 by 03/15/2024
As of 02/21/2024
  Indus: 38,612 +48.44 +0.1%  
  Trans: 15,582 +118.68 +0.8%  
  Utils: 854 +11.76 +1.4%  
  Nasdaq: 15,581 -49.91 -0.3%  
  S&P 500: 4,982 +6.29 +0.1%  
YTD
 +2.4%  
-2.0%  
-3.1%  
 +3.8%  
 +4.4%  
  Targets    Overview: 02/13/2024  
  Down arrow37,700 or 39,000 by 03/15/2024
  Up arrow16,400 or 15,400 by 03/01/2024
  Up arrow870 or 800 by 03/01/2024
  Down arrow15,000 or 16,400 by 03/15/2024
  Down arrow4,850 or 5,100 by 03/15/2024

Bulkowski on SEC Forms

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

Updated 3/23/2017

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
DescriptionFiling Deadline
3First time insider transactions: Initial statement of beneficial ownership of securities10 days after transaction
4Insider transactions: Statement of changes in beneficial ownership of securitiesBefore 2nd business day after transaction
5Annual statement of changes in beneficial ownership of securities45 days after fiscal year ends
8-KShows any material information about the company4 days after event
10-KAnnual report60-90 days after fiscal year end
10-QQuarterly report40-45 days after quarter ends
13DReports acquisition of beneficial ownership of 5% or more of a class of stock10 days after exceeding 5% ownership
13FQuarterly report filed by institutional managers45 days after fiscal quarter ends
13GReports 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.
144Proposed sale of securities?
40-33Stockholder 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-ICompany offers to buy back shares (issuer tender offer)?

Sources: http://sec.gov/info/edgar/forms/edgform.pdf and https://www.securexfilings.com/sec-deadlines/

-- Thomas Bulkowski

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