SEC Filings Dictionary

Simple explanations of SEC forms.

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Filing Amendments (/A): Any form ending with /A is a corrected or updated version of an earlier filing (example: 8-K/A, S-1/A, 13D/A). It usually adds missing details, fixes numbers, or updates the final terms.

Form Type	What it is
description 10-K Annual Report	Annual Report The company's full yearly report. Includes audited financial statements, risks, and how the business makes money. Usually the most complete document a public company files each year.
description 10-Q Quarterly Report	Quarterly Report A company's quarterly update. Shows financial results, cash/debt, and important business changes since last quarter. Not audited like a 10-K, but still very useful.
description 20-F Foreign Annual Report	Foreign Annual Report The yearly report used by foreign companies listed in the US. Similar to a 10-K, but often includes extra country/regulatory details. Common for ADRs and global companies.
description 6-K Current Foreign Report	Current Foreign Report A foreign company's ongoing update report. Used for important announcements like results, major deals, or other material news. Often the fastest SEC channel for non-US issuers.
description 40-F Canadian Annual Report	Canadian Annual Report Annual report for many Canadian companies listed in the US. Similar goal as a 10-K: give investors the full yearly picture. Often used under special Canada/US listing rules.
description 8-K Current Report	Current Report A report when something big happened. Filed when the company has a major event: leadership change, financing, acquisition, bankruptcy, etc. Usually filed within a few business days after the event.
description 425 M&A Communications	M&A Communications Documents about a merger or business combination. Can include presentations, deal explanations, and press releases. Helps investors understand what the companies are trying to do.
description 15-12G Termination of Registration	Termination of Registration The company says it plans to stop being an SEC reporting company. Often connected to going private, delisting, or moving away from major exchanges. Means less public reporting going forward.
description 10-12G Registration of Securities	Registration of Securities A filing used to register a class of securities for public reporting. Often appears when a company starts reporting to the SEC or registers a new share class. It is mostly a technical starting point filing.
description Form 4 Insider Trading Report	Insider Trading Report Shows trades made by insiders (executives, directors, or big owners). Tells you if insiders bought or sold shares, and how much. Usually appears shortly after the trade.
description 144 Notice of Proposed Sale	Notice of Proposed Sale A notice that restricted/control shares may be sold soon. Often used by insiders or large holders before selling in the open market. Not always a sale yet, but it is a signal the selling may happen.
description SCHEDULE 13D Active Beneficial Ownership (5%+)	Active Beneficial Ownership (5%+) Filed when someone owns more than 5% and may want to influence the company. Often used by activists. Usually includes the buyer's intentions and plans.
description SCHEDULE 13G Passive Beneficial Ownership (5%+)	Passive Beneficial Ownership (5%+) Filed when someone owns more than 5% but is not trying to control the company. Often used by institutions and funds. A cleaner 'we own it, but we are passive' report.
description SC 13E3 Going Private Transaction	Going Private Transaction Used when a company (or controlling holders) plans to take it private. Explains the transaction, pricing, and why they want to end public trading. Very important if you hold the stock.
description S-1 IPO Registration	IPO Registration The main document for a first-time public offering. Explains the business, risks, financials, and how shares will be sold. Usually the core IPO document investors read.
description S-1MEF Additional Registration (MEF)	Additional Registration (MEF) A smaller add-on to register additional shares for an existing S-1 offering. Often used to increase offering size or cover extra demand. Mostly technical.
description F-1 Foreign IPO Registration	Foreign IPO Registration The IPO registration statement used by foreign companies listing in the US. Similar purpose to S-1. Used for international companies entering US markets.
description F-10EF Canadian Registration (MJDS)	Canadian Registration (MJDS) A registration form used by some Canadian issuers under special cross-border rules. Often related to offerings in the US. More common for larger Canadian companies.
description S-3 Shelf Registration	Shelf Registration Pre-approval to raise money later (shares or debt) over a period of time. The company can pull from the shelf when it wants to raise capital. Does not always mean immediate dilution, but enables it.
description S-3ASR Automatic Shelf (Large Issuers)	Automatic Shelf (Large Issuers) A shelf registration for very large, established companies. Lets them register and issue securities faster, with fewer delays. Mostly relevant for big-cap issuers.
description F-3 Foreign Shelf Registration	Foreign Shelf Registration The shelf registration version for foreign companies. Allows future capital raises in US markets. Signals flexibility to issue shares or debt later.
description S-4 M&A Registration	M&A Registration Used when a merger involves issuing new shares to complete the deal. Contains deal terms, exchange ratios, and the why behind the merger. Often one of the main merger documents.
description 424B3 / 424B4 Final Prospectus / Pricing Details	Final Prospectus / Pricing Details The document that finalizes details of an offering. Usually includes final pricing, number of shares, and who can sell. Helpful for understanding real dilution/supply.
description 424B5 Final Prospectus Supplement	Final Prospectus Supplement Used for active offerings, including at-the-market (ATM) programs. Shows how the company can sell shares into the market. Often relevant for dilution risk.
description 424B7 Selling Shareholder Prospectus	Selling Shareholder Prospectus Allows existing shareholders to sell shares under a registered prospectus. Often used by early investors or insiders after lockups. Can signal potential supply pressure.
description FWP Free Writing Prospectus	Free Writing Prospectus Extra marketing material related to an offering. Can include slides, summaries, or term sheets. Not always the main legal document, but can explain the pitch.
description DEF 14A Definitive Proxy Statement	Definitive Proxy Statement The document shareholders use to vote. Includes board elections, executive pay, proposals, and meeting details. Key for governance and shareholder decisions.
description DEF 14C Information Statement (No Vote)	Information Statement (No Vote) Used when a company does not need a shareholder vote (often due to a majority holder). Explains actions being taken even without a vote. Signals concentrated control.
description DEFM14A Merger Proxy	Merger Proxy A proxy statement specifically for voting on a merger. Explains the deal terms, timeline, and what shareholders receive. Usually one of the final steps before approval.
description DEFN14A Contested Proxy	Contested Proxy Filed when there is a fight over the board or control. Often used by an opposing group trying to replace management. Signals a proxy battle.
description DEFR14A Revised Proxy	Revised Proxy An updated version of a previously filed definitive proxy. Used to correct or update proposals and details. Usually not a new story, but changes can matter.
description DEFA14A Additional Proxy Materials	Additional Proxy Materials Extra communications to influence how shareholders vote. Can include letters, presentations, or arguments. Common in heated votes or sensitive proposals.
description DFAN14A Activist / Non-Management Materials	Activist / Non-Management Materials Proxy materials filed by someone other than management. Often activists trying to persuade shareholders. A sign of pressure on leadership.
description PRE 14A Preliminary Proxy (Draft)	Preliminary Proxy (Draft) A draft proxy filed before the final definitive version. Submitted for SEC review. Useful for early visibility into upcoming votes.
description PRE 14C Preliminary Information Statement (Draft)	Preliminary Information Statement (Draft) A draft version of an information statement. Used before the final is filed. Early notice of actions planned without a shareholder vote.
description PREM14A Preliminary Merger Proxy (Draft)	Preliminary Merger Proxy (Draft) A draft merger proxy filed for SEC review. Early look at deal terms and conditions. Not final, but very informative.
description SC TO-T Third-Party Tender Offer	Third-Party Tender Offer A formal offer from an outside party to buy shares directly from shareholders. Usually includes price, deadline, and conditions. Often part of a takeover attempt.
description SC TO-I Issuer Tender Offer	Issuer Tender Offer The company offers to buy back its own shares from shareholders. Explains price range, amount, and rules. Can reduce share count if completed.
description SC TO-C Tender Offer Communications	Tender Offer Communications Updates and communications about an ongoing tender offer. Includes extensions, changes, and progress notes. Helps track what is happening during the offer.