SEC form guide
SEC form types, explained
Every EDGAR filing has a form type. Here are the 23 you will meet most often when following large U.S. companies, what each one is for, and how many of each appear in our snapshot of 3,000 companies (updated Oct 27, 2026, 11:27 PM EDT).
Periodic reports
Form 10-K
Annual report. The yearly report with audited financial statements, risk factors and management’s discussion of results.
2,530 in snapshot · latest Oct 27, 2026Form 10-Q
Quarterly report. Unaudited financial statements and an update on the business for each of the first three fiscal quarters.
4,503 in snapshot · latest Oct 27, 2026Form 10-K/A
Amended annual report. A correction or addition to a previously filed 10-K.
74 in snapshot · latest Sep 29, 2026Form 11-K
Annual report of employee stock plans. Annual financial statements for employee stock-purchase, savings and similar plans.
586 in snapshot · latest Oct 21, 2026Form SD
Specialized disclosure report (conflict minerals). An annual report on the use of conflict minerals such as tin, tantalum, tungsten and gold.
729 in snapshot · latest Oct 1, 2026Current events
Amendments (for example 10-K/A or SC 13G/A) are grouped with their base form where it makes sense. The SEC publishes the official list and instructions for every form on sec.gov.
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Insider & ownership
Form 4
Statement of changes in beneficial ownership (insider trade). Reports a purchase, sale, grant or other change in holdings by a director, officer or 10% owner.
50,693 in snapshot · latest Oct 27, 2026Form 3
Initial statement of beneficial ownership. Filed when someone first becomes an insider, listing the company securities they own.
4,280 in snapshot · latest Oct 27, 2026Form 5
Annual statement of changes in beneficial ownership. A yearly catch-up report for insider transactions that were exempt from, or missed on, Form 4.
60 in snapshot · latest Oct 14, 2026Form 144
Notice of proposed sale of securities. Notice that an affiliate plans to sell restricted or control shares under Rule 144.
11,586 in snapshot · latest Oct 27, 2026Form SCHEDULE 13G
Passive beneficial ownership report (over 5%). Filed by passive investors, such as index funds, that own more than 5% of a company’s stock.
8,319 in snapshot · latest Oct 27, 2026Form SCHEDULE 13D
Active beneficial ownership report (over 5%). Filed by investors who own more than 5% and may seek to influence the company — often activists.
1,026 in snapshot · latest Oct 27, 2026Form 13F-HR
Institutional investment manager holdings report. A quarterly list of U.S. stock holdings filed by investment managers with $100 million or more under management.
266 in snapshot · latest Oct 27, 2026Proxy & shareholder
Form DEF 14A
Definitive proxy statement. The document sent before a shareholder meeting, with executive pay, board nominees and items up for a vote.
2,460 in snapshot · latest Oct 27, 2026Form DEFA14A
Additional proxy soliciting materials. Extra material sent to shareholders after the main proxy statement — letters, presentations or updates.
1,462 in snapshot · latest Oct 27, 2026Registration & offerings
Form S-1
Registration statement (IPO and other offerings). The registration statement used for initial public offerings and other securities offerings.
71 in snapshot · latest Oct 5, 2026Form S-3
Simplified registration statement. A short-form registration that seasoned companies use to register securities, often for shelf offerings.
381 in snapshot · latest Oct 27, 2026Form S-4
Registration statement for business combinations. Used to register securities issued in mergers, acquisitions and exchange offers.
88 in snapshot · latest Oct 21, 2026Form S-8
Registration of employee benefit plan securities. Registers shares a company will issue to employees under stock-option or stock-purchase plans.
718 in snapshot · latest Oct 27, 2026Form 424B2
Prospectus (pricing supplement). A prospectus filed for a specific offering under a shelf registration — common for bank-issued notes.
760 in snapshot · latest Oct 27, 2026Foreign issuers
Form 20-F
Annual report of a foreign private issuer. The annual report non-U.S. companies file instead of a 10-K.
569 in snapshot · latest Oct 27, 2026Form 6-K
Report of a foreign private issuer. How non-U.S. companies furnish information they publish at home, such as interim results and press releases.
10,330 in snapshot · latest Oct 27, 2026Form 40-F
Annual report of certain Canadian issuers. An annual report eligible Canadian companies file under the U.S.–Canada multijurisdictional disclosure system.
150 in snapshot · latest Sep 23, 2026Source
- Form descriptions are written by OpenFilings based on SEC rules and forms guidance; filing counts come from SEC EDGAR submissions data. The SEC does not endorse OpenFilings.