The U.S. Securities and Exchange Commission (SEC) requires both domestic and foreign companies offering securities in the U.S. to file registration statements, periodic reports, and other specific forms At Intelligize, we are committed to making your SEC compliance work as productive as possible. That’s why we’ve developed this quick reference guide, listing the major SEC forms and categorizing the most significant ones according to specific topics. While we have focused on the most relevant and widely used forms, it is always advisable to consult official SEC resources or a compliance expert for more detailed guidance.
SEC Forms Guide Menu
Prospectuses
Registration Forms — Securities Exchange Act of 1934
Investment Adviser Registration / Withdrawal From Registration — Investment Advisers Act of 1940
Current Report / Report of Foreign Private Issuer — Securities Exchange Act of 1934
Reports by Investment / Investment Management Companies — Investment Company Act of 1940
Forms Related to Mergers and Acquisitions
Major SEC Forms
Form 1-A
Regulation A Offering Statement — Exempt offering (under Regulation A) up to $75 million.
Form 3
Initial statement of beneficial ownership of securities — Used when a person becomes an insider.
Form 4
Statement of changes in beneficial ownership.
Form 5
Annual statement of changes in beneficial ownership.
Form 6-K
Report of foreign private issuer.
Form 8-K
Current report — Often used to report unscheduled material events or corporate changes which could be of importance to shareholders or the SEC, such as a merger, acquisition, bankruptcy, or resignation of director.
Form 8-A
(8-A12B/8-A12G)
Used for registration of certain classes of securities pursuant to section 12(b) or 12(g) of the Securities Exchange Act of 1934.
Form 10
(10-12B/10-12G)
10-12B
— General form for registration of securities pursuant to section 12(b) of the Securities Exchange Act of 1934 — Used for new stock issued in relation to a spin-off.
10-12G
— General form for registration of securities pursuant to section 12(g) of the Securities Exchange Act of 1934.
Form 13F-HR
Quarterly Form 13F Holdings Report filed by institutional investment managers (with assets of $100 million or more).
Form 15-12G
Certification and notice of termination of registration under section 12(g) of the Securities Exchange Act of 1934 or suspension of duty to file reports under sections 13 and 15(d) of the Securities Exchange Act of 1934.
Form 10-K
Annual report providing a comprehensive overview of the company’s business and financial performance / transition report.
Form 11-K
Annual report regarding employee stock purchase, savings and similar plans.
Form 10-Q
Quarterly report providing a comprehensive overview of the company’s financial performance / transition report.
Form 15
Certification and notice of termination of registration.
Form 15F
Certification of a foreign private issuer’s termination of registration of a class of securities / termination of the duty to file reports.
Form 20-F
Registration statement / annual report / transition report / shell company report — Used by foreign private issuers.
Form 24F-2
Annual Notice of Securities Sold Pursuant to Rule 24f-2.
Form 25
Notification of removal from listing and/or registration — Used by issuers to delist their securities.
Form 25-NSE
Notification of removal from listing and/or registration — Exchange Delistings — Used by exchange to remove securities from listing and/or registration.
Form 40-F
Registration statement / annual report — For certain Canadian issuers.
Form 144
Notice of Proposed Sale of Securities pursuant to Rule 144.
Prospectus 424A
Prospectus filed pursuant to Rule 424(a).
Prospectus 424B1
Prospectus filed pursuant to Rule 424(b)(1).
Prospectus 424B2
Prospectus filed pursuant to Rule 424(b)(2).
Prospectus 424B3
Prospectus filed pursuant to Rule 424(b)(3).
Form 425
(Form 8-K-425)
Prospectus / communication in connection with business combinations.
Form 425
(Press Release)
Prospectus / communication in connection with business combinations.
Form 485APOS
(on Form N-1A)
Filed on Form N-1A — Post-effective amendment (to registration statement) filed pursuant to Rule 485(a) — 485APOS filings are applicable to multiple registration forms.
Form 485BPOS
(on Form N-1A)
Filed on Form N-1A — Post-effective amendment (to registration statement) filed pursuant to Rule 485(b) — 485BPOS filings are applicable to multiple registration forms.
Form 497
Used by investment companies to file definitive materials.
Form ADV
Uniform application for investment adviser registration and report by exempt reporting advisers.
Form ADV-W
Notice of withdrawal from registration as investment adviser.
Form ARS
Annual Report to Shareholders.
Form C
Regulation Crowdfunding offering statement — Exempt offering (under Regulation Crowdfunding).
Form CB
Tender Offer / Rights Offering Notification Form — Tender offer or rights offering notification for cross-border transactions.
CORRESP
Type of EDGAR submission used by filers to submit nonpublic information — The SEC may release the information to the public under certain circumstances.
Form D
Notice of Exempt Offering of Securities — Regulation D.
DRS
(on Form F-1)
Draft registration statement on Form F-1 — Used for nonpublic review — DRS filings are applicable to multiple registration forms.
DRS
(on Form S-1)
Draft registration statement on Form S-1 — Used for nonpublic review — DRS filings are applicable to multiple registration forms.
Form F-1
Registration statement for securities (foreign private issuers) — Often used by a foreign private issuer launching an initial public offering (IPO).
Form F-3
Registration statement for securities (foreign private issuers).
Form F-4
Registration statement for securities of certain foreign private issuers issued in certain business combination transactions.
Form F-6
Registration statement — Used for depositary shares evidenced by American Depositary Receipts.
Form F-10
Registration statement for securities of certain Canadian issuers.
Form N-1A
Registration statement — Open-end management investment companies.
Form N-2
Registration statement — Closed-end management investment companies.
Form N-14
Registration statement — Used in business combination transactions by management investment companies and business development companies.
Form N-CEN
Annual report for registered investment companies.
Form N-CSR
Certified shareholder report of registered management investment companies.
Form N-PX
Annual report of proxy voting record.
Form N-PORT
Monthly portfolio investments report.
Form NT 10-K
Notification of late filing of Form 10-K — Filed on Form 12b-25.
Form NT 10-Q
Notification of late filing of Form 10-Q — Filed on Form 12b-25.
Form NT 20-F
Notification of late filing of Form 20-F — Filed on Form 12b-25.
POS AM
(Form S-1)
Post-effective amendment to S-1 registration statement — POS AM filings are applicable to multiple registration forms.
PX14A6G
Notice of exempt solicitation.
RW
Withdrawal request of previously filed registration statement — Applicable to multiple registration forms.
S-1
Registration statement — Often used by a domestic company launching an IPO.
S-1MEF
Registration statement for up to an additional 20% of securities under Rule 462(b) for any offering registered on form S-1 — MEF filings are applicable to multiple forms.
S-3
Registration statement — Simplified security registration form / short form registration statement for companies meeting eligibility requirements.
S-3ASR
Form S-3 automatic shelf registration statement — ASR filings are applicable to multiple forms.
S-4
Registration statement — Generally used in connection with mergers, acquisitions or exchange offers.
S-8
Registration statement — Used for securities to be offered to employees pursuant to certain plans.
S-11
Registration of securities of certain real estate companies.
Schedule 13E-3
(SC 13E-3)
Rule 13e-3 transaction statement — Used to report going private transactions.
Schedule 13D
Beneficial ownership report — Beneficial ownership of more than five percent of a covered class of equity securities — Investor with control Intent.
Schedule 13G
Beneficial ownership report — Beneficial ownership of more than five percent of a covered class of equity securities — Investor without control Intent (e.g., passive investors and qualified institutional investors).
Schedule 14A
DEF 14A
— Definitive proxy statement.
DEFC14A
— Definitive proxy statement for contested solicitations.
DEFM14A
— Definitive proxy statement for merger or acquisition.
DEFR14A
— Definitive revised proxy statement materials.
DEFN14A
— Definitive proxy statement filed by non-management.
DFAN14A
— Definitive additional proxy soliciting materials filed by non-management.
DFRN14A
— Definitive revised proxy statement filed by non-management.
PRE 14A
— Preliminary proxy statement.
PREM14A
— Preliminary proxy statement for merger or acquisition.
Schedule 14C
DEF 14C
— Definitive information statements.
DEFC14C
— Definitive information statement for contested solicitations.
DEFM14C
— Definitive information statement for merger or acquisition.
DEFR14C
— Definitive revised information statement materials.
PRE 14C
— Preliminary information statement.
PREM14C
— Preliminary information statement for merger or acquisition.
Schedule 14D-9
(SC 14D-9)
Solicitation/recommendation statement — Used to respond to a tender offer.
Schedule TO
SC TO-C
— Written public communication relating to an issuer or third party tender offer.
SC TO-I
— Tender offer statement filed by the issuer.
SC TO-T
— Tender offer statement filed by a third party.
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SEC Forms
Quick Reference Guide
We’re committed to making your SEC compliance work as productive as possible. Download this quick reference guide, listing the major SEC forms and categorizing the most significant ones according to specific topics.