# SEC filing types explained: 10-K, 10-Q, 8-K, Form 4, 13F

Canonical: https://sec-api.dev/sec-filing-types

> U.S. public companies report to the SEC on standard forms. The 10-K is the annual report, the 10-Q the quarterly report and the 8-K the report of major events; insiders report trades on Form 4 and large investment managers report holdings on Form 13F. Every filing is public on SEC EDGAR.

| Form | What it is | Deadline |
| --- | --- | --- |
| 10-K | Annual report with audited financial statements | 60–90 days after fiscal year end |
| 10-Q | Quarterly report for the first three fiscal quarters | 40–45 days after quarter end |
| 8-K | Current report of major events: earnings, executive changes, acquisitions | Generally 4 business days |
| 4 | Insider purchase, sale or other change in holdings | 2 business days |
| 13F-HR | Quarterly holdings of institutional managers with $100M or more | 45 days after quarter end |
| SCHEDULE 13D | Ownership above 5% with possible intent to influence control | 5 business days |
| SCHEDULE 13G | Passive ownership above 5% | Depends on filer type |
| S-1 | Registration statement, usually for an IPO | Before the securities are sold |
| DEF 14A | Proxy statement before a shareholder vote, including executive pay | When sent to shareholders |
| 20-F | Annual report of a foreign private issuer | 4 months after fiscal year end |
| 6-K | Current report of a foreign private issuer | Promptly after home-country release |
| D | Notice of a private, exempt securities offering | 15 days after first sale |

## What is a CIK?

Every filer has a Central Index Key (CIK), a number of up to ten digits such as 0000320193 for Apple. Tickers can change; the CIK stays with the company, so use it to look up filings.

## How to find a company’s filings

1. Look up the CIK from the ticker on the company’s page or with the ticker-to-CIK API.
2. Open the company on SEC EDGAR, or request its filings by CIK and form type.
3. Open the filing index and read the primary document; keep the accession number as the reference.

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Independent. Not affiliated with, endorsed by, or sponsored by the U.S. Securities and Exchange Commission. Data is reproduced from public SEC filings and datasets. Not investment advice.
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