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SEC Groupings Descriptions


Annual Filings

  • 10-C Filing for NASDAQ securities containing info on change in shares or a change in name
  • 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
  • NTFNSAR NTFNSAR    
  • NTN 11K NTN 11K    
  • NTN 20F NTN 20F

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
  • BW-2 BW-2    
  • 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
  • NTN 10Q NTN 10Q

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

Registration Statements

  • 10-12B Registration filing of securities pursuant to section 12(b) of the Securities Exchange Act
  • 10-12B/A Amendment to a previously filed 10-12B
  • 10-12G A general registration filing of securities pursuant to section 12(g) of the Securities Exchange Act
  • 10-12G/A Amendment to a previously filed 10-12G
  • 10SB12B Registration for small business issuers pursuant to section 12(b) of Securities Exchange Act
  • 10SB12B/A Amendment to a previously filed 10SB12B
  • 10SB12G Registration for small business issuers pursuant to section 12(g) of Securities Exchange Act
  • 10SB12G/A Amendment to a previously filed 10SB12G
  • 18-12B Registration of securities filed pursuant to section 12(b) of the Securities Exchange Act
  • 18-12B/A Amendment to a previously filed 18-12B
  • 18-12G Registration of securities filed pursuant to section 12(g) of the Securities Exchange Act
  • 18-12G/A Amendment to a previously filed 18-12G
  • 20FR12B Registration of securities of foreign private issuers 12 (b) of the Securities Exchange Act
  • 20FR12B/A Amendment to a previously filed 20FR12B
  • 20FR12G Registration of securities of foreign private issuers 12 (g) of the Securities Exchange Act
  • 20FR12G/A Amendment to a previously filed 20FR12G
  • 24F-1 Registration of securities by certain investment companies 24f-1. Notification of election
  • 24F-2EL Registration of securities by certain investment companies 24f-2. Declaration of election
  • 24F-2EL/A Amendment to a previously filed 24F-2EL
  • 24F-2NT Registration of securities by certain investment companies. Rule 24f-2 notice
  • 24F-2NT/A Amendment to a previously filed 24F-2NT
  • 424A Substantive changes from or additions to a prospectus previously filed
  • 424B1 Form of prospectus that discloses information previously omitted from the prospectus
  • 424B2 Form of prospectus filed in connection with primary offering of securities on a delayed basis
  • 424B3 Form of prospectus reflecting facts events constituting substantive change from last form
  • 424B4 Form of prospectus disclosing information facts events covered in both forms 424B1 424B3
  • 424B5 Form of prospectus disclosing information facts events covered in both forms 424B2 424B3
  • 424B7 424B7    
  • 485A24E Registration statement for management investment companies Rule 485(b)0.24
  • 485A24F Registration statement for management investment companies Rule 485(b) 24f-2
  • 485APOS Registration statement for management investment companies Rule 485(a)
  • 485B24E Registration statement for management investment companies Rule 485(a)0.24
  • 485B24F 485B24F    
  • 485BPOS Registration statement for management investment companies) 485(b)
  • 486A24E 486A24E    
  • 486B24E 486B24E    
  • 486BPOS 486BPOS    
  • 487 Pre-effective pricing amendments filed pursuant to Rule 487
  • 8-A12B Registration of certain classes of securities 12(b) of the Securities Exchange Act
  • 8-A12B/A Amendment to a previously filed 8-A12B
  • 8-A12G Registration of certain classes of securities 12(g) of the Securities Exchange Act
  • 8-A12G/A Amendment to a previously filed 8-A12G
  • 8-B12B Registration of securities of certain successor issuers 12(b) of the Securities Exchange Act
  • 8-B12B/A Amendment to a previously filed 8-B12B
  • 8-B12G Registration of securities of certain successor issuers 12(g) of the Securities Exchange Act
  • 8-B12G/A Amendment to a previously filed 8-B12G
  • 8A12BEF Registration of listed debt securities 12(b)
  • 8A12BT 8A12BT    
  • 8A12BT/A Amendment to a previously filed 8A12BT
  • BW-3 BW-3    
  • DEL AM Delaying amendment
  • F-1 Registration statement for certain foreign private issuers
  • F-1/A This filing is a pre-effective amendment to an F-1 filing
  • F-1MEF Registration of up to an additional 20% of securities for an offering filed on an F-1
  • F-2 Registration statement for certain foreign private issuers
  • F-2/A Amendment to a previously filed F-2
  • F-3 Registration statement for certain foreign private issuers offered for certain transactions
  • F-3/A Amendment to a previously filed F-3
  • F-3DPOS Amendment to a previously filed F-3D
  • F-4 Registration statement for foreign private issuers issued in certain business transactions
  • F-4/A Amendment to a previously filed F-4
  • F-6 Registration of depository shares evidenced by American Depository Receipts
  • F-6 POS Post-effective amendment to a previously filed F-6
  • F-6/A Amendment to a previously filed F-6
  • N-1 Registration statement for open-end management investment companies
  • N-1/A Amendments to a previously filed N-1
  • N-14 Registration statement for investment companies business combination
  • N-14/A Pre-effective amendment to a previously filed N-14
  • N-1A Registration statement for Mutual Funds
  • N-1A EL N-1A EL    
  • N-1A EL/A N-1A EL/A    
  • N-1A/A Pre-effective amendments
  • N-2 Registration statement for closed-end investment companies
  • N-2/A RPre-effective amendment to an N-2 filing
  • N-2MEF N-2MEF    
  • N-3 Registration statement for separate accounts (management investment companies)
  • N-3 EL N-3 EL    
  • N-3 EL/A N-3 EL/A    
  • N-3/A Pre-effective amendment to an N-3 filing
  • N-4 Registration statement for separate accounts (unit investment trusts)
  • N-4 EL N-4 EL    
  • N-4 EL/A N-4 EL/A    
  • N-4/A Pre-effective amendment to an N-4 filing
  • N-5 Registration statement for small business investment companies
  • N-5/A Pre-effective amendment to an N-5 filing
  • N-54A Notification of election by business development companies
  • N-54A/A Pre-effective amendment to an N-54A filing
  • N-8A Notification of registration under section 8(a)
  • N-8A/A Pre-effective amendment to an N-8A filing
  • N-8B-2 Registration statement for unit investment trusts
  • N-8B-2/A Amendments to a previously filed N-8B-2
  • N-8B-4 Registration statement for face-amount certificate companies
  • N-8B-4/A Pre-effective amendment to an N-8B-4 filing
  • N14AE24 N14AE24    
  • N14AE24/A N14AE24/A    
  • N14EL24 N14EL24    
  • N14EL24/A N14EL24/A    
  • POS 8C POS 8C    
  • POS AM Post-effective amendment to an S-Type filing
  • POS AMI Post-effective amendments
  • POS EX POS EX    
  • POS462B Post effective amendment to proposed Securities Act Rule 462(b) registration statement
  • POS462C Post effective amendment to proposed Securities Act Rule 462(c) registration statement
  • S-1 Registration statement for face-amount certificate companies
  • S-1/A Amended Registration statement for face-amount certificate companies
  • S-11 Registration of securities of certain real estate companies
  • S-11/A Pre-effective amendment to an S-11 filing
  • S-11MEF Registration of up to an additional 20% of securities for any offering registered on a S-11
  • S-1MEF Registration of up to an additional 20% of securities for any offering registered on an S-1
  • S-2 Optional registration form that may be used by some companies
  • S-2/A Pre-effective amendment to S-2 filing
  • S-20 Initial registration statement for standardized options
  • S-20/A Amendment to a previously filed S-20
  • S-2MEF Registration of up to an additional 20% of securities for any offering registered on an S-2
  • S-3 Simplified registration form
  • S-3/A Pre-effective amendment to an S-3 filing
  • S-3D Registration statement of securities pursuant to dividend or interest reinvestment plans
  • S-3D/A Amendment to a previously filed S-3D
  • S-3DPOS Post-effective amendment to an S-3D filing
  • S-3MEF Registration of up to an additional 20% of securities for any offering registered on a S-3
  • S-4 POS Post-effective amendment to an S-4EF filing
  • S-4EF Securities issued in connection with formation of a bank savings and loan etc
  • S-4EF/A Pre-effective amendment to an S-4EF filing
  • S-4MEF A new registration statement filed under Rule 462(b) to add securities to a prior related registrati
  • S-6 Initial registration statement for unit investment trusts
  • S-6/A Pre-effective amendment to an S-6 filing
  • S-6EL24 S-6EL24    
  • S-6EL24/A S-6EL24/A    
  • S-8 Securities offered to employees pursuant to employee benefit plans
  • S-8 POS Post-effective amendment to an S-8 filing
  • S-8/A Amendment to a previously filed S-8
  • SB-1 Optional filing for small business issuers for the registration of securities to be sold to public
  • SB-1/A Pre-effective amendment to an SB-1 filing
  • SB-2 Optional form for the registration of securities to be sold to the public by small business issuers
  • SB-2/A Pre-effective amendment to an SB-2 filing
  • SB-2MEF Registration of up to an additional 20% of securities for any offering registered on a SB-2

3,4,5 (Insider Transactions)

  • 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

Mergers & Acq.

  • DEFM14A Official notification of matters relating to a merger or acquisition
  • DEFM14C A definitive information statement relating to a merger or an acquisition
  • PREM14A A preliminary proxy statement relating to a merger or acquisition
  • PREM14C A preliminary information statement relating to a merger or acquisition
  • S-4 Registration of securities issued in business combination transactions
  • S-4/A Pre-effective amendment to an S-4 filing
  • SC 14D1 Tender offer statement
  • SC 14D1/A Amendment to a previously filed SC 14D1
  • SC 14D9 Solicitation/recommendation statements
  • SC 14D9/A Amendment to a previously filed SC 14D9
  • SC TO-C Written public communication relating to an issuer or third party tender offer not by the subject co
  • SC TO-I Tender offer schedule and amendment filed by the issuer.
  • SC TO-I/A Amendment to a previously filed SC TO-I
  • SC TO-T Tender offer schedule and amendment filed by a third party.
  • SC TO-T/A Amendment to a previously filed SC TO-T

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