As of 05/24/2024
  Indus: 39,070 +4.33 +0.0%  
  Trans: 15,083 +74.08 +0.5%  
  Utils: 926 +1.92 +0.2%  
  Nasdaq: 16,921 +184.76 +1.1%  
  S&P 500: 5,305 +36.88 +0.7%  
YTD
 +3.7%  
-5.1%  
 +5.0%  
 +12.7%  
 +11.2%  
  Targets    Overview: 05/13/2024  
  Up arrow41,000 or 38,500 by 06/01/2024
  Up arrow16,050 or 15,300 by 06/01/2024
  Up arrow960 or 900 by 06/01/2024
  Up arrow17,250 or 15,850 by 06/01/2024
  Up arrow5,500 or 5,100 by 06/01/2024
As of 05/24/2024
  Indus: 39,070 +4.33 +0.0%  
  Trans: 15,083 +74.08 +0.5%  
  Utils: 926 +1.92 +0.2%  
  Nasdaq: 16,921 +184.76 +1.1%  
  S&P 500: 5,305 +36.88 +0.7%  
YTD
 +3.7%  
-5.1%  
 +5.0%  
 +12.7%  
 +11.2%  
  Targets    Overview: 05/13/2024  
  Up arrow41,000 or 38,500 by 06/01/2024
  Up arrow16,050 or 15,300 by 06/01/2024
  Up arrow960 or 900 by 06/01/2024
  Up arrow17,250 or 15,850 by 06/01/2024
  Up arrow5,500 or 5,100 by 06/01/2024

Bulkowski on SEC Forms

This article discusses forms required by the Securities and Exchange Commission.

Updated 3/23/2017

SEC Forms and What They Tell You

When I was doing Dutch auction tender offers, I checked form TO-I. Why? Because that's the SEC form companies use to announce their surprises. Here's a list of forms you may find useful when researching a company. You can go to the SEC website to search for forms and schedules.

SEC
Form
DescriptionFiling Deadline
3First time insider transactions: Initial statement of beneficial ownership of securities10 days after transaction
4Insider transactions: Statement of changes in beneficial ownership of securitiesBefore 2nd business day after transaction
5Annual statement of changes in beneficial ownership of securities45 days after fiscal year ends
8-KShows any material information about the company4 days after event
10-KAnnual report60-90 days after fiscal year end
10-QQuarterly report40-45 days after quarter ends
13DReports acquisition of beneficial ownership of 5% or more of a class of stock10 days after exceeding 5% ownership
13FQuarterly report filed by institutional managers45 days after fiscal quarter ends
13GReports acquisition of beneficial ownership of 5% or more of a class of stock by passive investors and certain institutions.45 days after calendar year end.
144Proposed sale of securities?
40-33Stockholder lawsuits against an investment company or affiliate.?
NT ...Notice of failure to timely file a report, such as NT 10-K, NT 10-Q, and so on.?
TO-ICompany offers to buy back shares (issuer tender offer)?

Sources: http://sec.gov/info/edgar/forms/edgform.pdf and https://www.securexfilings.com/sec-deadlines/

-- Thomas Bulkowski

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