SEC Filings Definitions

The following is a list of the various types of SEC Filings and their definitions. For more information, please visit the SEC’s Descriptions of SEC Forms. 

 

Filing Definition S-3 An initial registration statement for specified transactions by certain issuers. S-3/A A pre-effective amendment to an S-3 filing. S-8 An initial registration statement for securities to be offered to employees pursuant to employee benefit plans. S-8 POS A post-effective amendment to an S-8 filing. 424B2 A form of prospectus filed in connection with a primary offering of securities. 424B3 A prospectus that reflects changes or additions to the information listed in the last prospectus filed. 424B5 A prospectus that discloses information covered in 424B2 and 424B3 filings. DEF 14A A “proxy statement,” or form that provides official notification to certain shareholders of matters to be brought to a vote at a shareholders meeting. DEFA 14A A form that provides additional definitive proxy soliciting materials. 10-K An annual report that provides an overview of a company for the past year. 10-K405 An annual report that has the Regulation S-K Item 405 box checked on the cover page. 11-K An annual report for employee stock purchase, savings or similar plans. 10-Q A quarterly report that includes unaudited financial information and provides an ongoing view of a company's financial position during the year. SC 13G An initial statement of acquisition of beneficial ownership by individuals. SC 13G/A An amendment to an SC 13G filing. 3 An initial statement of beneficial ownership of securities held by directors, officers or significant shareholders. 3/A An amendment to a Form 3 filing. 4 A statement of changes in beneficial ownership of securities held by directors, officers or significant shareholders. 4/A An amendment to a Form 4 filing. 5 An annual statement of beneficial ownership of securities held by directors, officers or significant shareholders. 8-K A report used to explain significant events or changes that affect the company's financial condition. 8-K/A An amendment to a Form 8-K filing. NO ACT A letter from the SEC indicating that no civil or criminal action will be charged against an individual for engaging in a certain activity. PRE 14A All other preliminary “proxy statements,” or forms that provide official notification to certain shareholders of matters to be brought to a vote at a shareholders meeting.