# SEC form types explained

Canonical: https://sec-api.dev/sec-forms

> What each SEC EDGAR form is, who files it and when it is due.

| Form | Name | Deadline | Observed filings | Page |
| --- | --- | --- | --- | --- |
| 10-K | Annual report | 60 days after fiscal year end for large accelerated filers, 75 days for accelerated filers and 90 days for all other filers. | 8 | https://sec-api.dev/sec-forms/10-k |
| 10-Q | Quarterly report | 40 days after quarter end for large accelerated and accelerated filers, 45 days for all other filers. | 519 | https://sec-api.dev/sec-forms/10-q |
| 8-K | Current report | Generally within four business days after the triggering event. Item 7.01 Regulation FD and Item 8.01 other events are voluntary. | 599 | https://sec-api.dev/sec-forms/8-k |
| 3 | Initial statement of beneficial ownership | Within 10 days after becoming an insider (and by the effective date of registration for an IPO). | 163 | https://sec-api.dev/sec-forms/form-3 |
| 4 | Statement of changes in beneficial ownership | Before the end of the second business day after the transaction date. | 1521 | https://sec-api.dev/sec-forms/form-4 |
| 5 | Annual statement of changes in beneficial ownership | Within 45 days after the issuer’s fiscal year end. | 2 | https://sec-api.dev/sec-forms/form-5 |
| 144 | Notice of proposed sale of restricted or control securities | Transmitted to the SEC concurrently with placing the sell order or executing the sale. Electronic filing has been mandatory since April 2023. | 458 | https://sec-api.dev/sec-forms/form-144 |
| 13F-HR | Institutional investment manager holdings report | Within 45 days after the end of each calendar quarter. | 804 | https://sec-api.dev/sec-forms/13f-hr |
| SCHEDULE 13D | Beneficial ownership report (active) | Within five business days after crossing 5% (shortened from 10 calendar days by the SEC’s 2023 amendments). Material changes must be amended within two business days. | 105 | https://sec-api.dev/sec-forms/schedule-13d |
| SCHEDULE 13G | Beneficial ownership report (passive) | Depends on filer type. Since the 2023 amendments, qualified institutions file within 45 days after the quarter in which they cross 5%, and passive investors within five business days. | 869 | https://sec-api.dev/sec-forms/schedule-13g |
| S-1 | Registration statement | No filing deadline. The registration must be declared effective before the securities are sold. | 21 | https://sec-api.dev/sec-forms/s-1 |
| S-3 | Short-form registration statement | No filing deadline. | 32 | https://sec-api.dev/sec-forms/s-3 |
| 424B2 | Prospectus filed under Rule 424(b) | Generally no later than the second business day after pricing or first use, under Rule 424(b). | 1971 | https://sec-api.dev/sec-forms/424b2 |
| FWP | Free writing prospectus | Generally filed on or before the date of first use. | 323 | https://sec-api.dev/sec-forms/fwp |
| DEF 14A | Definitive proxy statement | Must be filed no later than the date it is first sent to shareholders. A preliminary proxy (PRE 14A) is required 10 calendar days earlier for certain matters. | 63 | https://sec-api.dev/sec-forms/def-14a |
| 6-K | Report of foreign private issuer | Promptly after the information is made public in the home country or to security holders. | 246 | https://sec-api.dev/sec-forms/6-k |
| 20-F | Annual report of foreign private issuer | Within four months after fiscal year end. | 11 | https://sec-api.dev/sec-forms/20-f |
| 40-F | Annual report of eligible Canadian issuer | Due on the same day the annual disclosure is due in Canada. | 1 | https://sec-api.dev/sec-forms/40-f |
| D | Notice of exempt offering of securities | Within 15 calendar days after the first sale of securities in the offering. | 619 | https://sec-api.dev/sec-forms/form-d |
| NPORT-P | Monthly portfolio investments report (public) | Set by Rule 30b1-9 and the form instructions; check the current compliance dates, which the SEC amended in 2024. | 202 | https://sec-api.dev/sec-forms/nport-p |
| N-CSR | Certified shareholder report of registered management investment company | Within 10 days after the shareholder report is transmitted to shareholders. | 97 | https://sec-api.dev/sec-forms/n-csr |
| 497K | Summary prospectus for mutual funds | Filed under Rule 497 when first used. | 233 | https://sec-api.dev/sec-forms/497k |
| 11-K | Annual report of employee stock purchase, savings and similar plans | Within 180 days after the plan’s fiscal year end, or as an amendment to the employer’s 10-K for certain plans. | 0 | https://sec-api.dev/sec-forms/11-k |
| S-8 | Registration of securities for employee benefit plans | No filing deadline; effective automatically on filing. | 25 | https://sec-api.dev/sec-forms/s-8 |

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