As of 02/03/2023
Indus: 33,926 -127.93 -0.4%
Trans: 15,518 -122.49 -0.8%
Utils: 954 -22.84 -2.3%
Nasdaq: 12,007 -193.87 -1.6%
S&P 500: 4,136 -43.28 -1.0%
|
YTD
+2.3%
+15.9%
-1.4%
+14.7%
+7.7%
|
|
As of 02/03/2023
Indus: 33,926 -127.93 -0.4%
Trans: 15,518 -122.49 -0.8%
Utils: 954 -22.84 -2.3%
Nasdaq: 12,007 -193.87 -1.6%
S&P 500: 4,136 -43.28 -1.0%
|
YTD
+2.3%
+15.9%
-1.4%
+14.7%
+7.7%
| |
| ||
This article discusses forms required by the Securities and Exchange Commission.
Updated 3/23/2017
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) | ? |
Sources: http://sec.gov/info/edgar/forms/edgform.pdf and https://www.securexfilings.com/sec-deadlines/
-- Thomas Bulkowski
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