SEC Grouping Descriptions

• Annual Filings
• Quarterly Filings
• Current Filings
• Section 16 Filings
• Proxy Statements
• Other

• Annual Filings

  • 10-C
    Filing for NASDAQ securities containing info on change in shares or a change in name
  • 10-C/A
    Amendment to a previously filed 10-C
  • 10-K
    Annual report which provides a comprehensive overview of the company for the past year
  • 10-K/A
    Amendment to a previously filed 10-K
  • 10-K405
    Annual report. The Regulation S-K Item 405 box on the cover page is checked
  • 10-K405/A
    Amendment to a previously filed 10-K405
  • 10-KT
    Annual transition reports filed rule 13a-10 or 15d-10 of the Securities Exchange Act
  • 10-KT/A
    Amendment to a previously filed 10-KT
  • 10KSB
    Annual report filed by small businesses
  • 10KSB/A
    Amendment to a previously filed 10KSB
  • 10KSB40
    Optional form for annual and transition reports of small business issuers
  • 10KSB40/A
    Amendment to a previously filed 10KSB40
  • 10KT405
    Annual transition report filed Rule 13a-10 or15d-10 of the Securities Exchange Act
  • 10KT405/A
    Amendment to a previously filed 10KT405
  • 11-K
    An annual report of employee stock purchase, savings and similar plans
  • 11-K/A
    Amendment to a previously filed 11-K
  • 11-KT
    Annual report of employee stock purchase savings and similar plans
  • 11-KT/A
    Amendment to a previously filed 11-KT
  • 18-K
    Annual report for foreign governments and political subdivisions
  • 18-K/A
    18-K/A
  • 20-F
    Registration of securities of foreign private issuers pursuant to section 12(b) or (g)
  • 20-F/A
    Amendment to a previously filed 20-F
  • ARS
    An annual report to security holders.
  • ARS/A ARS/A
  • N-18F1
    Notification of election pursuant to Rule 18f-1
  • N-18F1/A
    Pre-effective amendment to an N-18F1 filing
  • N-23C-1
    Reports by closed-end investment companies of purchase of their own securities
  • N-23C-1/A
    Pre-effective amendment to an N-23C-1 filing
  • N-30D
    An annual and semi-annual report mailed to shareholders. Filed by registered investment companies
  • N-30D/A
    Amendments to a previously filed N-30D
  • NSAR-A
    Semi-Annual report for management companies
  • NSAR-A/A
    Amendments to a previously filed NSAR-A
  • NSAR-AT
    Transitional semi-annual report for registered investment companies (Management)
  • NSAR-AT/A
    Amendments to a previously filed NSAR-AT
  • NSAR-B
    Annual report for management companies
  • NSAR-B/A
    Amendments to a previously filed NSAR-B
  • NSAR-BT
    Transitional annual report for management companies
  • NSAR-BT/A
    Amendments to a previously filed NSAR-BT
  • NSAR-U
    Annual report for unit investment trusts
  • NSAR-U/A
    Amendments to a previously filed NSAR-U
  • NT 10-K
    Notification that form 10-K will be submitted late
  • NT 10-K/A
    Amendment to a previously filed NT 10-K
  • NT 11-K
    Notification that form 11-K will be submitted late
  • NT 11-K/A
    Amendment to a previously filed NT 11-K
  • NT 20-F
    NT 20-F
  • NT 20-F/A
    NT 20-F/A
  • NT-NSAR
    Request for an extension of time for filing form NSAR-A NSAR-B or NSAR-U
  • NT-NSAR/A
    Amendments to a previously filed NT-NSAR

• Quarterly Filings

  • 10-Q
    Quarterly report which provides a continuing view of a company's financial position
  • 10-Q/A
    Amendment to a previously filed 10-Q
  • 10-QT
    Quarterly transition reports filed rule 13a-10 or 15d-10 of the Securities Exchange Act
  • 10-QT/A
    Amendment to a previously filed 10-QT
  • 10QSB
    Quarterly report filed by small businesses
  • 10QSB/A
    An amendment to a previously filed 10QSB
  • 13F-E
    Quarterly reports filed by institutional managers
  • 13F-E/A
    Amendment to a previously filed 13F-E
  • NT 10-Q
    Notification that form type 10-Q will be submitted late
  • NT 10-Q/A
    Amendment to a previously filed NT 10-Q

• Current Filings

• 6-K
  Report of foreign issuer rules 13a-16 and 15d-16 of the Securities Exchange Act
• 6-K/A
  Amendment to a previously filed 6-K
• 8-K
  Report of unscheduled material events or corporate event
• 8-K/A
  Amendment to a previously filed 8-K
• 8-K12G3
  Notice of securities of successor issuers deemed registered
• 8-K12G3/A
  Amendment to a previously filed 8-K12G3
• 8-K15D5
  Notification of assumption of duty to report by successor issuer
• 8-K15D5/A
  Amendment to a previously filed 8-K15D5

• Section 16 Filing

• 3
  Initial filing by director officer or owner of more than ten percent.
• 3/A
  An amendment to a 3 filing. Non-EDGAR filing
• 4
  Statement of changes in beneficial ownership of securities
• 4/A
  Amendment to a previously filed 4
• 5
  Annual filing director officer or owner of more than ten percent.
• 5/A
  Amendment to a previously filed 5

• Proxy Statements

• DEF 14A
  Official notification to shareholders of matters to be brought to a vote ("Proxy")
• DEF13E3
  Schedule filed as definitive materials
• DEF13E3/A
  Amendment to a previously filed DEF 13E3
• DEFA14A
  Additional proxy soliciting materials - definitive
• DEFA14C
  Additional information statement materials - definitive
• DEFC14A
  Definitive proxy statement in connection with contested solicitations
• DEFC14C
  Definitive information statement indicating contested solicitations
• DEFN14A
  Proxy statement filed by non-management not in connection with contested solicitations
• DEFR14A
  DEFR14A
• DEFR14C
  Revised information statement materials - definitive
• DEFS14A
  A definitive proxy statement giving notice regarding a special meeting
• DEFS14C
  A definitive information statement regarding a special meeting
• DFAN14A
  Additional proxy soliciting materials filed by non-management
• DFRN14A
  Revised definitive proxy statement filed by non-management
• PRE 14A
  A preliminary proxy statement providing notification matters to be brought to a vote
• PRE 14C
  A preliminary proxy statement containing all other information
• PRE13E3
  Initial statement - preliminary form
• PRE13E3/A
  Amendment to a previously filed PRE13E3
• PREC14A
  Preliminary proxy statement containing contested solicitations
• PREC14C
  Preliminary information statement containing contested solicitations
• PREN14A
  Non-management preliminary proxy statements not involving contested solicitations
• PRER14A
  Proxy soliciting materials. Revised preliminary material
• PRER14C
  Information statements. Revised preliminary material
• PRES14A
  A preliminary proxy statement giving notice regarding a special meeting
• PRES14C
  A preliminary information statement relating to a special meeting
• PRRN14A
  Non-management revised preliminary proxy soliciting materials
• PX14A6G
  Notice of exempt solicitation. Definitive material

• Other

• All forms not listed in one of the categories above