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SEC Filings
The SEC filing is a financial statements, financial statement or other formal document submitted to the U.S. Securities and Exchange Commission (SEC). Public company, 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 evaluating for investment purposes. Many, but not all SEC filings are available online through the SEC's EDGAR (Electronic Data Gathering, Analysis, and Retrieval) database and as structured datasets in the Harvard Dataverse. Common filing types The most commonly filed SEC forms are the 10-K and the 10-Q. These forms are composed of four main sections: The business section, the F-pages, the Risk Factors, and the MD&A. The business section provides an overview of the Company. The F-pages contain the financial statements which are either audited or reviewed by an independent auditor. The Risk Factors contain a list of all ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
Seal Of The United States Securities And Exchange Commission
Seal may refer to any of the following: Common uses * Pinniped, a diverse group of semi-aquatic marine mammals, many of which are commonly called seals, particularly: ** Earless seal, also called "true seal" ** Fur seal ** Eared seal * Seal (emblem), a device to impress an emblem, used as a means of authentication, on paper, wax, clay or another medium (the impression is also called a seal) * Seal (mechanical), a device which helps prevent leakage, contain pressure, or exclude contamination where two systems join ** Hermetic seal, an airtight mechanical seal * Security seals such as labels, tapes, bands, or ties affixed onto a container in order to prevent and detect tampering Arts, entertainment and media * Seal (1991 album), ''Seal'' (1991 album), by Seal * Seal (1994 album), ''Seal'' (1994 album), sometimes referred to as ''Seal II'', by Seal * ''Seal IV'', a 2003 album by Seal * ''Seal Online'', a 2003 massively multiplayer online role-playing game Law * Seal (contract la ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
Form 4
Form 4 is a United States SEC filing that relates to insider trading. Every director, officer and owner of more than 10 percent of a class of a particular company's equity securities registered under Section 12 of the Securities Exchange Act of 1934 must file with the United States Securities and Exchange Commission a statement of ownership regarding such security. The initial filing is on Form 3 and changes are reported on Form 4. The annual statement of beneficial ownership of securities is on Form 5. The forms contain information on the reporting person's relationship to the company and on purchases and sales of such equity securities. Form 4 is stored in SEC's EDGAR Edgar is a commonly used masculine English given name, from an Anglo-Saxon name ''Edgar'' (composed of ''wikt:en:ead, ead'' "rich, prosperous" and ''Gar (spear), gar'' "spear"). Like most Anglo-Saxon names, it fell out of use by the Late Midd ... database and academic researchers make these reports freel ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
Fiscal Year
A fiscal year (also known as a financial year, or sometimes budget year) is used in government accounting, which varies between countries, and for budget purposes. It is also used for financial reporting by businesses and other organizations. Laws in many jurisdictions require company financial reports to be prepared and published on an annual basis but generally with the reporting period not aligning with the calendar year (1 January to 31 December). Taxation laws generally require accounting records to be maintained and taxes calculated on an annual basis, which usually corresponds to the fiscal year used for government purposes. The calculation of tax on an annual basis is especially relevant for direct taxes, such as income tax. Many annual government fees—such as council tax and license fees are also levied on a fiscal year basis, but others are charged on an anniversary basis. Some companies, such as Cisco Systems, end their fiscal year on the same day of the week each ye ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
Form 10-K405
Form 10-K405 is an SEC filing to the US Securities and Exchange Commission (SEC) that indicates that an officer or director of a public company failed to file a Form 4 Form 4 is a United States SEC filing that relates to insider trading. Every director, officer and owner of more than 10 percent of a class of a particular company's equity securities registered under Section 12 of the Securities Exchange Act of ... (or related Form 3 or Form 5) on time, in violation of Section 16 - meaning that they did not disclose their insider trading activities within the required time period. Prior to 2003, 10-K forms submitted to the SEC contained the following qualifier: Indicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K is not contained herein, and will not be contained to the best of registrant's knowledge in definitive proxy or information statements incorporated by reference in Part III of this Form 10-K or any amendment to this For ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
Form S-1
Form S-1 is an SEC filing used by companies planning on going public to register their securities with the U.S. Securities and Exchange Commission (SEC) as the "registration statement by the Securities Act of 1933". The S-1 contains the basic business and financial information on an issuer with respect to a specific securities offering. Investors may use the prospectus to consider the merits of an offering and make educated investment decisions. A prospectus is one of the main documents used by an investor to research a company prior to an initial public offering ( IPO). Other less detailed registration forms, such as Form S-3, may be used for certain registrations. Every business day, S-1 forms are filed with the SEC's EDGAR filing system, the required filing format of the U.S. Securities and Exchange Commission. However many of these are of the related Form S-1/A, which is used for filing amendments to a previously filed Form S-1. The S-1 form has an OMB approval number ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
Form F-4
Form F-4 is an American form used to register securities in connection with business combinations and exchange offers involving foreign private issuers. These activities include mergers and acquisitions, going-private transactions, rights offerings, and other similar deals conducted by foreign entities. Resources SEC Homepage SEC filings {{US-gov-stub ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
Shelf Registration
Shelf registration, shelf offering, or shelf prospectus is a type of public offering where certain issuers are allowed to offer and sell securities to the public without a separate prospectus for each act of offering and without the issue of further prospectus. Instead, there is a single prospectus for multiple, undefined future offerings. The prospectus (often as part of a registration statement) may be used to offer securities for up to several years after its publication. A shelf registration statement is a filing with the SEC to register a public offering, usually where there is no present intention to immediately sell all the securities being registered. A shelf registration statement permits multiple offerings based on the same registration. Shelf registration is mostly used for sales of new securities by the issuer (primary offerings), although it might possibly be used for resales of outstanding securities (secondary offerings) or a combination of both. For example, a comp ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
Proxy Statement
A proxy statement is a statement provided by a firm soliciting shareholder votes. The statement includes voting procedure and information, background information about the company's nominated directors, board compensation, executive compensation, and audit fees and committee members. Regulation can govern the requirements of proxy statements. Description A proxy statement is a statement provided by a firm soliciting shareholder votes. This statement is useful in assessing how management is paid and potential conflict of interest issues with auditors. Contents The statement includes: * Voting procedure and information. * Background information about the company's nominated directors including relevant history in the company or industry, positions on other corporate boards, and potential conflicts of interest. * Board compensation. * Executive compensation, including salary, bonus, non-equity compensation, stock awards, options, and deferred compensation. Also, information is ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
Form 5
Form 5 is an SEC filing submitted to the Securities and Exchange Commission on an annual basis by company officers, directors, or beneficial (10%) owners, which summarizes their insider trading activities. This form is simply a combination of year's Form 4 filings, which are mandatory filings made shortly after insiders make transactions. Form 5 is stored in SEC's EDGAR Edgar is a commonly used masculine English given name, from an Anglo-Saxon name ''Edgar'' (composed of ''wikt:en:ead, ead'' "rich, prosperous" and ''Gar (spear), gar'' "spear"). Like most Anglo-Saxon names, it fell out of use by the Late Midd ... database and academic researchers make these reports freely available as structured datasets in the Harvard Dataverse. External links SEC Homepage References {{Reflist SEC filings ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
Securities Act Of 1933
The Securities Act of 1933, also known as the 1933 Act, the Securities Act, the Truth in Securities Act, the Federal Securities Act, and the '33 Act, was enacted by the United States Congress on May 27, 1933, during the Great Depression and after the stock market crash of 1929. It is an integral part of United States Securities Regulation, United States securities regulation. It is legislated pursuant to the Interstate Commerce Clause of the Constitution. It requires every offer or sale of securities that uses the means and instrumentalities of interstate commerce to be registered with the U.S. Securities and Exchange Commission, SEC pursuant to the 1933 Act, unless an exemption from registration exists under the law. The term "means and instrumentalities of interstate commerce" is extremely broad and it is virtually impossible to avoid the operation of the statute by attempting to offer or sell a security without using an "instrumentality" of interstate commerce. Any use of a t ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
Form 10-12B
Form 10-12B is a U.S. SEC filing used to register securities pursuant to Section 12(b) of the Securities Exchange Act of 1934 in the United States The United States of America (USA), also known as the United States (U.S.) or America, is a country primarily located in North America. It is a federal republic of 50 U.S. state, states and a federal capital district, Washington, D.C. The 48 .... Form uses This form is one of the most useful of the security registration forms because it relates to securities created as a result of a spin-off. Reading the form There are three major portions of the 10-12B form: * Letter to Shareholders from Parent Company - This provides a history of the parent company, their reason for the spin-off, and other relevant information. * Information Statement - This section contains all the information investors need to know. Occasionally, portions of this section will be left blank and amended (with 10-12B/A filings) at a later time. * Financi ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
