S-1 (Registration Statement)
10-K (Annual Report)
10-Q (Quarterly Report)
8K (Significant Events)
Proxy Statement (DEF14A)
13-F (Institutional Ownership)
Reports equity holdings by institutional investors (mutual funds, banks, corporations, & others)
Filed within 45 days of the end of each quarter of the fiscal year
13-D (5% Ownership)
Reports holdings of 5% or more of a corporation’s shares
Can signal a merger or increased shareholder activism
Filed within 10 days of the event
Forms 3, 4, 5 (Beneficial Ownership)
Reports insider ownership by officers and directors
Initial purchase (Form 3), Change in holdings (Form 4) and Annual filings (Form 5)
Called a “Section 16” filing
The annual report is not a required SEC filing but is used by corporations to communicate directly with their shareholders.
Annual reports feature the CEO's Letter to the Shareholders. They often include financial highlights, management biographies, product profiles, information on corporate philanthrophy and community programs, and career opportunities.
Annual reports often look like marketing brochures with many graphs, charts and photos.
Check the Investor Relations pages of the company's website for the annual report or use one of these databases: