SEC filings library
SEC filings explained.
These references explain common SEC filing types in plain English: who files each form, when it is filed, what it discloses, and what readers should not infer from the disclosure alone. SEC filings come from EDGAR and public sources. Aerarium Research is read-only and does not provide investment advice.
Periodic reports
4 formsSEC Form 10-K: the annual report
The annual SEC report with audited financial statements, business description, risk factors, and management discussion.
SEC Form 10-Q: the quarterly report
The quarterly update with unaudited financial statements and management discussion for the period.
SEC Form 8-K: current report
A current report for certain material events between regular quarterly and annual filings.
SEC Form 10-K/A: annual report amendment
An amendment to a previously filed annual report.
Ownership & insider
7 formsSEC Form 13F: institutional holdings report
A quarterly holdings report for certain institutional investment managers.
Schedule 13D: beneficial ownership report
A beneficial ownership filing often associated with holders crossing a 5% stake with active intent.
Schedule 13G: short-form beneficial ownership report
A shorter beneficial ownership filing used by eligible passive or exempt holders.
SEC Form 3: initial insider ownership statement
The initial beneficial ownership statement for insiders subject to Section 16 reporting.
SEC Form 4: insider transaction report
A report for many insider ownership changes, including transactions and equity award activity.
SEC Form 5: annual insider transaction report
An annual insider filing for certain transactions not reported earlier on Form 4.
SEC Form 144: proposed sale of restricted or control securities
A notice of proposed sale for certain restricted or control securities.
Registration & offerings
5 formsSEC Form S-1: registration statement
A registration statement used for many public securities offerings, including IPOs.
SEC Form S-3: shelf registration statement
A short-form registration statement available to eligible issuers for certain offerings.
SEC Form S-8: employee benefit plan registration
A registration statement for securities offered through employee benefit or compensation plans.
SEC Form 424B: prospectus filing
A prospectus filing used to provide offering terms and final or supplemental prospectus information.
SEC Form D: exempt offering notice
A notice filing for certain exempt securities offerings.
Proxy & governance
3 formsSEC DEF 14A: definitive proxy statement
The definitive proxy statement for shareholder meetings, voting matters, board information, and compensation disclosures.
SEC PRE 14A: preliminary proxy statement
A preliminary proxy statement filed before definitive proxy materials in applicable situations.
SEC DEFA14A: additional definitive proxy materials
Additional definitive proxy solicitation materials filed after or alongside definitive proxy materials.
Foreign issuers
3 formsSEC Form 20-F: foreign private issuer annual report
An annual report used by many foreign private issuers with securities registered in the United States.
SEC Form 6-K: foreign issuer current report
A report used by foreign private issuers to furnish material information made public elsewhere.
SEC Form 40-F: Canadian issuer annual report
An annual report used by certain Canadian issuers under the multijurisdictional disclosure system.
Funds
3 formsSEC Form N-PORT: fund portfolio holdings
A portfolio holdings report for registered management investment companies.
SEC Form N-CSR: fund shareholder report
A certified shareholder report filing for registered management investment companies.
SEC Form N-1A: mutual fund registration statement
A registration statement used by open-end management investment companies such as mutual funds.
Other
3 formsSEC Form 25: delisting or deregistration from an exchange
A notification related to delisting a security from a national securities exchange or related registration changes.
SEC Form 15: certification of termination of registration
A filing used to terminate or suspend certain SEC reporting obligations.
Schedule TO-T: third-party tender offer statement
A tender offer statement for certain third-party tender offers.
Learn from the source documents
Pair filing definitions with the Learn library for deeper explainers on 10-K reports, 13F ownership, insider transactions, financial statements, and market data.