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- S-1
This is the basic registration form. It can be used to register securities
for which no other form is authorized or prescribed, except securities of
foreign governments or political sub-divisions thereof.
- S-2
This is a simplified optional registration form that may be used by companies
that have been required to report under the '34 Act for a minimum of three
years and have timely filed all required reports during the 12 calendar months
and any portion of the month immediately preceding the filing of the registration
statement. Unlike Form S-1, it permits incorporation by reference from the
company's annual report to stockholders (or annual report on Form 10-K) and
periodic reports. Delivery of these incorporated documents as well as the
prospectus to investors may be required.
- SB-1
This form may be used by certain "small business issuers" to register
offerings of up to $10 million of securities, provided that the company has
not registered more than $10 million in securities offerings during the preceding
twelve months. This form requires less detailed information about the issuer's
business than Form S-1. Generally, a "small business issuer" is
a U.S. or Canadian company with revenues and public market float less than
$25 million.
- S-6
This form is used to register securities issued by unit investment trusts
(1933 Act only).
- 10
This is the general
form for registration of securities pursuant to section 12(b) or (g) of the
'34 Act of classes of securities of issuers for which no other form is prescribed.
It requires certain business and financial information about the issuer.
- 10-SB
This is the general form for registration of securities pursuant to Sections
12(b) or (g) of the '34 Act for "small business issuers." This form
requires slightly less detailed information about the company's business than
Form 10 requires.
- 8-A
This optional short form may be used by companies to register securities under
the '34 Act.
- 8-B
This specialized
registration form may be used by certain issuers with no securities registered
under the'34 Act that succeed to another issuer which had securities so registered
at the time of succession.
- 20-F
This is an integrated
form used both as a registration statement for purposes of registering securities
of qualified foreign private issuers under Section 12 or as an annual report
under Section 13(a) or 15(d) of the '34 Act.
- 40-F
This is an integrated form used both as a registration statement to register
securities of eligible publicly traded Canadian foreign private issuers or
as an annual report for such issuers. It serves as a wraparound for the company's
Canadian public reports.
- Form 8-K
This is the "current report" that is used to report the occurrence
of any material events or corporate changes which are of importance to investors
or security holders and previously have not been reported by the registrant.
It provides more current information on certain specified events than would
Forms 10-Q or 10-K.
- Form 10-C
This form must be filed by an issuer whose securities are quoted on the Nasdaq
interdealer quotation system. Reported on the form is any change that exceeds
five percent in the number of shares of the class outstanding and any change
in the name of the issuer. The report must be filed within ten days of such
change.
- Form 10-K
This is the annual report that most reporting companies file with the Commission.
It provides a comprehensive overview of the registrant's business. The report
must be filed within 90 days after the end of the company's fiscal year.
- Form 10-KSB
This is the annual report filed by reporting "small business issuers."
It provides a comprehensive overview of the company's business, although its
requirements call for slightly less detailed information than required by
Form 10-K. The report must be filed within 90 days after the end of the company's
fiscal year.
- Form 10-Q
The Form 10-Q is a report filed quarterly by most reporting companies. It
includes unaudited financial statements and provides a continuing view of
the company's financial position during the year. The report must be filed
for each of the first three fiscal quarters of the company's fiscal year and
is due within 45 days of the close of the quarter.
- Form 10-QSB
The Form 10-QSB is filed quarterly by reporting small business issuers. It
includes unaudited financial statements and provides a continuing view of
the company's financial position and results of operations throughout the
year. The report must be filed for each of the first three fiscal quarters
and is due within 45 days of the close of the quarter.
- Form 11-K
This form is a special annual report for employee stock purchase, savings,
and similar plans, interests in which constitute securities registered under
the 1933 Act. The Form 11-K annual report is required in addition to any other
annual report of the issuer of the securities (e.g., a company's annual report
to all shareholders or Form 10-K).
- Form 12b-25
This form is used as a notification of late filing by a reporting company
that determines that is unable to file a required periodic report when first
due without unreasonable effort or expense. If a company files a Form 12b-25,
it is entitled to relief, but must file the required report within five calendar
days (for a Form 10-Q or 10-QSB) or within fifteen calendar days (for a Form
10-K, 10-KSB, 20-F, 11-K, or N-SAR).
- Form 13F
This is a quarterly report of equity holdings by institutional investment
managers having equity assets under management of $100 million or more. Included
in this category are certain banks, insurance companies, investment advisers,
investment companies, foundations and pension funds.
- Form 15
This form is filed by a company as notice of termination of registration under
Section 12(g) of the '34 Act, or suspension of the duty to file periodic reports
under Sections 13 and 15(d) of the '34 Act.
- Schedule 13D
This Schedule discloses beneficial ownership of certain registered equity
securities. Any person or group of persons who acquire a beneficial ownership
of more than 5% of a class of registered equity securities of certain issuers
must file a Schedule 13D reporting such acquisition together with certain
other information within ten days after such acquisition. Moreover, any material
changes in the facts set forth in the Schedule generally precipitates a duty
to promptly file an amendment on Schedule 13D.
- Schedule 14D-1
Any person, other than the issuer itself (see Schedule 13E-4), making a tender
offer for certain equity securities registered pursuant to Section 12 of the
'34 Act, which offer, if accepted, would cause that person to own over 5 percent
of that class of the securities, must at the time of the offer file a Schedule
14D-1. This schedule must be filed with the Commission and sent to certain
other parties, such as the issuer and any competing bidders. In addition,
Regulation 14D sets forth certain requirements that must be complied with
in connection with a tender offer.
Source: www.sec.gov
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