What does filings mean in stocks?
SEC Filings are regulatory documents that companies and issuers of securities must submit to the Securities and Exchange Commission (SEC) on a regular basis. The purpose is to provide transparency and information to investors, analysts, and regulators.
What does EDGAR filings mean?
Electronic Data Gathering, Analysis, and Retrieval
EDGAR—Electronic Data Gathering, Analysis, and Retrieval—is the electronic filing system created by the Securities and Exchange Commission to increase the efficiency and accessibility of corporate filings. The system is used by all publicly traded companies when submitting required documents to the SEC.
What are SEC 10-K filings?
A 10-K is a comprehensive report filed annually by public companies about their financial performance. The report is required by the U.S. Securities and Exchange Commission (SEC) and is far more detailed than the annual report.
What are the types of filings?
There are 5 methods of filing:
- Filing by Subject/Category.
- Filing in Alphabetical order.
- Filing by Numbers/Numerical order.
- Filing by Places/Geographical order.
- Filing by Dates/Chronological order.
Who needs to file with SEC?
Even if a company doesn’t have to register its securities for an offering, it still may have to file reports with the SEC if the company lists its securities on an exchange or has more than $10 million in assets and a class of equity securities with either 2,000 or more record holders or 500 or more record holders that …
What is an 8-K report?
Form 8-K is known as a “current report” and it is the report that companies must file with the SEC to announce major events that shareholders should know about. Companies generally have four business days to file a Form 8-K for an event that triggers the filing requirement.
Who needs EDGAR codes?
Anyone who intends to file any document electronically with the SEC must first apply for EDGAR Access Codes via the SEC’s Form ID Application (yes, even DRS/DOS or simple Form 3, 4, 5 or D filers). Your Form ID Application must be signed by an o cer of the company and their signature clearly notarized in English.
What is a 8K filing?
What is an 8-K? Form 8-K, also known as an 8K, is a form that is filed by public companies to notify their shareholders and the Securities and Exchange Commission (SEC) when an unscheduled material event takes place.
Why is it called 10-K filing?
Companies file three 10-Qs a year; the fourth quarter is covered by their 10-K. Sometimes, rather confusingly, the 10-K is referred to as a company’s “annual report” by financial pros—because it summarizes the company’s year. (It’s even called that on investor.gov, the SEC’s educational website.
What are the three types of filing?
Filing and classification systems fall into three main types: alphabetical, numeric and alphanumeric. Each of these types of filing systems has advantages and disadvantages, depending on the information being filed and classified. In addition, you can separate each type of filing system into subgroups.
What are 13D filings?
Schedule 13D is a form that must be filed with the U.S. Securities and Exchange Commission (SEC) when a person or group acquires more than 5% of a voting class of a company’s equity shares. Schedule 13D must be filed within 10 days of the filer reaching a 5% stake.
What is a CIK and CCC code?
A CIK confirmation code (CCC) used in conjunction with the CIK to ensure authorization for filings and to retrieve and edit data. A password that allows you to log into the EDGAR system, submit filings, and change the CCC. A password modification authorization code (PMAC) that allows you to change your password.
What are SEC filing codes?
SEC EDGAR filing codes are used to submit documents to the EDGAR system in addition to accessing online tools and web sites. These codes are created and provided when a company or insider registers with the SEC as an EDGAR filer.
What is an SEC filing?
The SEC filing is a financial statement or other formal document submitted to the U.S. Securities and Exchange Commission (SEC). Public companies, certain insiders, and broker-dealers are required to make regular SEC filings. Investors and financial professionals rely on these filings for information about companies they are…
Who is required to file financial statements with the SEC?
The Securities and Exchange Commission (SEC) requires certain financial statements and other formal documents to be submitted to them regularly. Public companies, certain company insiders–which the SEC defines as officers, directors, major stockholders, and employees of a public company–and broker-dealers are required by
What is SEC filing S-4?
The filing is needed by investors looking to make quick gains from mergers or acquisitions. Therefore, companies submitting SEC filing S-4 are required to disclose essential facts about their financial and operating activities. SEC Filings Form 11-K SEC filing 11-K is also referred to as the Annual Report of Employee Stock Purchase
How do SEC filings affect share prices?
Each SEC filing is accompanied with specific instructions and stipulations including time deadlines. These filings have the most significant material impact on the share prices of the underlying companies, as investors, fund managers and analysts react to the information.