SEC Filing Types

Every SEC filing a retail investor will encounter — from the annual 10-K to insider Form 4s to international 20-F filings. Click any form for the plain-English definition, or jump to a full reading guide.

IN-DEPTH READING GUIDES

GUIDE

How to Read a 10-K

Read a SEC 10-K filing the way analysts do. We walk through every section — business, risk factors, MD&A, financial statements — with retail-investor angles.

GUIDE

How to Read a 10-Q

Read a SEC 10-Q filing without missing the signal. Unaudited financials, updated risk factors, and the diff against the last 10-K — retail-investor angle.

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How to Read an 8-K

Every 8-K Item explained — 1.01 material agreements, 2.02 earnings, 4.02 restatements, 5.02 executive changes. Plus the red flags that signal trouble.

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How to Read a DEF 14A

A retail investor's guide to the SEC DEF 14A proxy statement. Executive compensation, board nominees, say-on-pay, related-party transactions — what to read and what to skip.

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How to Read a Form 4

Every Form 4 transaction code explained — P (purchase), S (sale), M (option exercise), F (tax), G (gift). Plus 10b5-1 vs discretionary trades, cluster signals, and red flags.

GUIDE

How to Read a 13F

The retail-investor guide to SEC Form 13F filings. 45-day stale data, no shorts, top filers, and how to use 13F data for thematic signals rather than copy-trading.

GUIDE

How to Read an S-1

Read an SEC S-1 IPO prospectus the way underwriters do. Section-by-section walkthrough, amendment counting, use-of-proceeds parsing, customer concentration red flags.

GUIDE

How to Read a Schedule 13D

Schedule 13D walkthrough — the SEC filing that signals activist intent. Item 4 Purpose decoding, amendment patterns, notable filers, and what retail investors should watch.

EVERY FILING TYPE — A-Z

10-K
A 10-K is the comprehensive annual report every US public company files with the SEC, covering financials, risks, and operations.
10-Q
A 10-Q is the shorter quarterly report US public companies file for the first three quarters of each fiscal year.
8-K
An 8-K is the SEC's 'current report' — filed within 4 business days when something material happens between quarterly reports.
20-F
A 20-F is the SEC's annual report form for foreign private issuers — the international equivalent of a 10-K.
6-K
A 6-K is the SEC's interim filing for foreign private issuers — used to report material news between annual 20-Fs.
40-F
A 40-F is the SEC's annual report form for Canadian companies registered under the multijurisdictional disclosure system (MJDS).
DEF 14A
DEF 14A is the definitive proxy statement — the document a public company sends shareholders before the annual meeting.
PRE 14A
PRE 14A is the preliminary proxy statement filed for SEC review before the definitive DEF 14A is sent to shareholders.
NT 10-K
NT 10-K is a notification of late filing — a company tells the SEC it cannot deliver its 10-K on time.

Trying to decide which filing to read?

Side-by-side comparisons make the differences obvious — start with 10-K vs 10-Q.

Browse comparisons →Full glossary A-Z