SEC Filing Types Explained
Understanding SEC filing types is essential for any serious investor. Each form type serves a different purpose and contains unique information that can impact investment decisions. Use this glossary to learn what each filing type contains and why it matters.
10-K
Annual report filed by public companies with comprehensive financial statements, management discussion, and risk factors.
Learn more →10-Q
Quarterly report with unaudited financial statements and updates on company operations and financial condition.
Learn more →8-K
Current report disclosing material events — CEO changes, acquisitions, earnings, bankruptcy, and other market-moving news.
Learn more →S-1
Registration statement for initial public offerings (IPOs) and other first-time securities registrations.
Learn more →DEF 14A
Definitive proxy statement with executive compensation, board nominees, and shareholder voting proposals.
Learn more →Form 3
Initial statement of beneficial ownership filed when someone first becomes an officer, director, or 10% owner — the baseline before any Form 4 trades.
Learn more →Form 4
Insider transaction report filed within two days of an officer, director, or 10% owner buying or selling shares.
Learn more →Form 144
Notice of proposed sale of securities filed by insiders before selling restricted or control shares. A forward-looking signal that precedes Form 4 disclosures.
Learn more →SC 13D / 13G
Beneficial ownership reports filed when an investor acquires more than 5% of a company's shares.
Learn more →Form 13F
Quarterly holdings report from institutional investment managers with $100M+ in assets, listing every reportable position.
Learn more →Search SEC Filings by Type
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