## 8-A SEC Form 8-A is required by the Securities and Exchange Commission (SEC) from companies seeking to register securities. It must be submitted before securities can be offered on an exchange. It is also known as the Registration of Certain Classes of Securities and the short-form registration statement. Form 8-A is one of the primary forms companies use to register securities for listing or quoting on an exchange under the Securities Exchange Act of 1934 for offering to the public. [Investopedia](https://www.investopedia.com/terms/s/sec-form-8-a.asp) ## 8-K SEC Form 8-K, titled Current Report, is a mandatory filing that publicly traded companies must submit to the Securities and Exchange Commission (SEC) to announce significant or "material" events that shareholders need to know. Unlike mandated periodic reports such as annual (Form 10-K) or quarterly (Form 10-Q) filings, Form 8-K is designed to reveal essential matters in time for shareholders to react. Matters that must be reported on the form include acquisitions, bankruptcy, directors' resignations, or fiscal year changes. [Investopedia](https://www.investopedia.com/terms/1/8-k.asp) ## 10-K Form 10-K is a comprehensive report filed annually by a publicly traded company about its financial performance and is required by the SEC. [Investopedia](https://www.investopedia.com/terms/1/10-k.asp) ## 10-KA (No description provided) ## 10-Q SEC Form 10-Q is a comprehensive unaudited report of financial performance that must be submitted quarterly by all public companies to the SEC. [Investopedia](https://www.investopedia.com/terms/1/10q.asp) ## 12b-25 SEC Form 12b-25, also known as the Notification of Late Filing, is the document a public company must file with the SEC when it anticipates missing the deadline for other key filings, such as quarterly financial results. [Investopedia](https://www.investopedia.com/terms/s/sec-form-12b-25.asp) ## 25 SEC Form 25 is the document a public company must file with the SEC to delist its securities under Rule 12d2-2 of the Securities Exchange Act of 1934. [Investopedia](https://www.investopedia.com/terms/s/sec-form-25.asp) ## 144 Form 144: Notice of Proposed Sale of Securities is a document issued by the SEC. It must be filed with the SEC by an executive officer, director, or affiliate of a company when placing an order to sell that company's stock during any three-month period in which the sale exceeds 5,000 shares or units or has an aggregate sales price greater than $50,000. [Investopedia](https://www.investopedia.com/terms/f/form144.asp) ## 424B3 SEC Form 424B3 is an amendment form that the SEC requires companies to file if they wish to change, amend, or add information to their registration prospectus without altering the prospectus in its original form. [Investopedia](https://www.investopedia.com/terms/s/sec-form-424b3.asp) ## 424B5 SEC Form 424B5 is a supplemental prospectus a company must file with the Securities and Exchange Commission (SEC) prior to launching an initial public offering (IPO)—should it wish to make changes to the essential offering information previously stated in earlier documents. [Investopedia](https://www.investopedia.com/terms/s/sec-form-424b5.asp) ## Form 3 SEC Form 3: Initial Statement of Beneficial Ownership of Securities is a document filed by a company insider or major shareholder with the SEC. [Investopedia](https://www.investopedia.com/terms/f/form3.asp) ## Form 4 SEC Form 4: Statement of Changes in Beneficial Ownership is a document that must be filed with the Securities and Exchange Commission (SEC) whenever there is a material change in the holdings of company insiders. [Investopedia](https://www.investopedia.com/terms/f/form4.asp) ## Form 425 SEC Form 425 is the prospectus document companies must file to disclose information about their business combinations. A business combination may refer to a merger between two or more companies or a consolidation. [Investopedia](https://www.investopedia.com/terms/s/sec-form-425.asp) ## Form S-1 SEC Form S-1 is the initial registration form for new securities required by the SEC for public companies that are based in the U.S. Any security that meets the criteria must have an S-1 filing before shares can be listed on a national exchange, such as the New York Stock Exchange. Companies usually file SEC Form S-1 in anticipation of their initial public offering (IPO). [Investopedia](https://www.investopedia.com/terms/s/sec-form-s-1.asp) ## Form S-3 Form S-3 is a simplified security registration form utilized by businesses that have already met other reporting requirements. The form registers securities with the SEC under the Securities Act of 1933 for U.S.-based companies only. [Investopedia](https://www.investopedia.com/terms/s/sec-form-s-3.asp) ## Form S-8 SEC Form S-8 refers to a filing that allows public companies to register securities it offers as part of an employee benefit plan. [Investopedia](https://www.investopedia.com/terms/s/sec-form-s-8.asp) ## Form SD SEC Form SD is a specialized disclosure form required by the U.S. Securities and Exchange Commission (SEC) to promote transparency about the use of certain minerals and their potential impact on human rights and ethical sourcing. [SEC.gov](https://www.sec.gov/about/forms/formsd.pdf) ## Notice of Effectiveness A **Notice of Effectiveness** or a Form S-1 is an official acknowledgment from the SEC that a company’s registration statement or amendment has been declared effective, allowing the company to legally proceed with the sale or distribution of the securities described in the filing. It confirms the company has met disclosure requirements but does not imply SEC endorsement or approval of the securities. [SEC.gov](https://www.sec.gov/cgi-bin/browse-edgar?action=geteffect) ## Schedule 13D Schedule 13D is a form that must be filed with the 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. Schedule 13D is also known as a "beneficial ownership report." [Investopedia](https://www.investopedia.com/terms/s/schedule13d.asp) ## Schedule 13G Schedule 13G is an alternative filing for the **Schedule 13D** form and is used to report a party's ownership of stock which exceeds 5% of a company's total stock issue. Schedule 13G is a shorter version of **Schedule 13D** with fewer reporting requirements. [Investopedia](https://www.investopedia.com/terms/s/schedule13g.asp) ## Schedule 14A A **Schedule 14A**, commonly referred to as a **Proxy Statement**, is a filing that publicly traded companies in the United States must submit to the **Securities and Exchange Commission (SEC)**. It provides shareholders with essential information needed to make informed decisions on matters to be voted on at an upcoming annual or special meeting. [SEC.gov](https://www.sec.gov/Archives/edgar/data/1477246/000113626113000484/defa14a.pdf)