SEC Forms Reference

Complete reference of all SEC forms tracked by SecTracker.

Official SEC Forms

For the complete official list of SEC forms and their requirements, visit the SEC Forms page.

Earnings & Financials

Annual and quarterly reports, current reports, and foreign issuer reports

Form	Name	Description	SEC Link
10-K	Annual Report	Comprehensive annual report filed by public companies that provides a detailed overview of the company's business and financial condition, including audited financial statements.
10-K/A	Annual Report Amendment	Amendment to a previously filed Form 10-K, used to correct errors or provide additional information.
10-Q	Quarterly Report	Quarterly report filed by public companies that includes unaudited financial statements and provides a continuing view of the company's financial position.
10-Q/A	Quarterly Report Amendment	Amendment to a previously filed Form 10-Q.
8-K	Current Report	Report used to announce major events that shareholders should know about, such as acquisitions, bankruptcy, resignation of directors, or changes in the fiscal year.
8-K/A	Current Report Amendment	Amendment to a previously filed Form 8-K.
6-K	Foreign Private Issuer Report	Report submitted by foreign private issuers to furnish information required to be made public in their home country, filed with any stock exchange, or distributed to security holders.
6-K/A	Foreign Private Issuer Report Amendment	Amendment to a previously filed Form 6-K.
20-F	Foreign Private Issuer Annual Report	Annual report filed by foreign private issuers, similar to Form 10-K but for non-U.S. companies.
20-F/A	Foreign Private Issuer Annual Report Amendment	Amendment to a previously filed Form 20-F.
40-F	Canadian Issuer Annual Report	Annual report filed by certain Canadian companies registered with the SEC under the Multijurisdictional Disclosure System (MJDS).
40-F/A	Canadian Issuer Annual Report Amendment	Amendment to a previously filed Form 40-F.

Insider Transactions

Insider ownership and trading activity

Form	Name	Description	SEC Link
3	Initial Statement of Beneficial Ownership	Initial filing required when a person becomes an officer, director, or beneficial owner of more than 10% of a class of equity securities.
3/A	Initial Statement Amendment	Amendment to a previously filed Form 3.
4	Statement of Changes in Beneficial Ownership	Filed to report changes in ownership by officers, directors, and 10% owners. Must be filed within 2 business days of the transaction.
4/A	Statement of Changes Amendment	Amendment to a previously filed Form 4.
5	Annual Statement of Beneficial Ownership	Annual report of holdings and transactions by officers, directors, and 10% owners not previously reported on Form 4.
5/A	Annual Statement Amendment	Amendment to a previously filed Form 5.

Offerings & Registrations

IPOs, secondary offerings, and registration statements

Form	Name	Description	SEC Link
S-1	Registration Statement (General)	General form used to register securities for companies that have not previously registered with the SEC, commonly used for IPOs.
S-1/A	Registration Statement Amendment	Amendment to a previously filed Form S-1.
S-3	Registration Statement (Short Form)	Simplified registration form for companies that meet certain requirements, allowing incorporation by reference to other SEC filings.
S-3/A	Short Form Registration Amendment	Amendment to a previously filed Form S-3.
S-4	Registration for Business Combinations	Registration statement used for securities issued in business combinations (mergers, acquisitions, exchange offers).
S-4/A	Business Combination Registration Amendment	Amendment to a previously filed Form S-4.
S-8	Registration for Employee Benefit Plans	Registration statement for securities to be offered to employees under benefit plans.
S-8/A	Employee Benefit Plan Registration Amendment	Amendment to a previously filed Form S-8.
S-11	REIT Registration Statement	Registration statement for securities of real estate investment trusts (REITs) and other real estate companies.
S-11/A	REIT Registration Amendment	Amendment to a previously filed Form S-11.
F-1	Foreign Private Issuer Registration	Registration statement for foreign private issuers, similar to Form S-1 but for non-U.S. companies.
F-1/A	Foreign Registration Amendment	Amendment to a previously filed Form F-1.
F-3	Foreign Private Issuer Short Form	Simplified registration form for foreign private issuers that meet certain requirements.
F-3/A	Foreign Short Form Amendment	Amendment to a previously filed Form F-3.
F-4	Foreign Business Combination Registration	Registration statement for foreign private issuers in business combinations.
F-4/A	Foreign Business Combination Amendment	Amendment to a previously filed Form F-4.
424B1	Prospectus - Rule 424(b)(1)	Final prospectus filed pursuant to Rule 424(b)(1), typically used for underwritten offerings.
424B2	Prospectus - Rule 424(b)(2)	Final prospectus filed pursuant to Rule 424(b)(2), used for shelf offerings with pricing information.
424B3	Prospectus - Rule 424(b)(3)	Prospectus filed pursuant to Rule 424(b)(3), used for selling shareholder offerings.
424B4	Prospectus - Rule 424(b)(4)	Final prospectus filed pursuant to Rule 424(b)(4), including pricing and underwriter information.
424B5	Prospectus - Rule 424(b)(5)	Prospectus supplement filed pursuant to Rule 424(b)(5), typically for shelf takedowns.
D	Notice of Exempt Offering	Notice filed for offerings exempt from registration under Regulation D (private placements).
D/A	Exempt Offering Notice Amendment	Amendment to a previously filed Form D.
EFFECT	Notice of Effectiveness	Notice that a registration statement has become effective.
DRS	Draft Registration Statement	Confidential draft registration statement submitted for SEC review before public filing.
DRS/A	Draft Registration Statement Amendment	Amendment to a previously submitted draft registration statement.

Proxy & Governance

Proxy statements and shareholder voting materials

Form	Name	Description	SEC Link
DEF 14A	Definitive Proxy Statement	Definitive proxy statement containing information shareholders need to vote on matters at annual or special meetings.
DEFA14A	Additional Proxy Soliciting Materials	Additional definitive materials filed in connection with a proxy solicitation.
DEF 14C	Definitive Information Statement	Definitive information statement sent to shareholders when no proxy is being solicited.
DEFC14A	Definitive Proxy - Contested	Definitive proxy materials for contested elections or matters.
DEFM14A	Definitive Proxy - Merger	Definitive proxy materials related to a merger or acquisition.
DEFM14C	Definitive Information Statement - Merger	Definitive information statement related to a merger when no proxy is solicited.
PRE 14A	Preliminary Proxy Statement	Preliminary proxy statement filed for SEC review before sending to shareholders.
PREM14A	Preliminary Proxy - Merger	Preliminary proxy statement related to a merger or acquisition.
PREC14A	Preliminary Proxy - Contested	Preliminary proxy materials for contested elections.
PRER14A	Preliminary Revised Proxy	Revised preliminary proxy statement.

Ownership Reports

Major shareholder and institutional ownership filings

Form	Name	Description	SEC Link
SC 13D	Schedule 13D - Beneficial Ownership Report	Filed within 10 days when a person or group acquires more than 5% of a company's shares with intent to influence or control.
SC 13D/A	Schedule 13D Amendment	Amendment to a previously filed Schedule 13D, required when there are material changes.
SC 13G	Schedule 13G - Passive Ownership Report	Short-form alternative to Schedule 13D for passive investors (institutions, qualified institutional buyers) with no intent to influence control.
SC 13G/A	Schedule 13G Amendment	Amendment to a previously filed Schedule 13G.
13F-HR	Institutional Holdings Report	Quarterly report filed by institutional investment managers with over $100 million in assets, disclosing equity holdings.
13F-HR/A	Institutional Holdings Amendment	Amendment to a previously filed Form 13F-HR.
13F-NT	Institutional Holdings Notice	Notice filed by institutional managers reporting that they have no holdings to report or filed a combination report.
13F-NT/A	Institutional Holdings Notice Amendment	Amendment to a previously filed Form 13F-NT.