As of 12/08/2023
  Indus: 36,248 +130.49 +0.4%  
  Trans: 15,211 -88.23 -0.6%  
  Utils: 874 -4.30 -0.5%  
  Nasdaq: 14,404 +63.98 +0.4%  
  S&P 500: 4,604 +18.78 +0.4%  
YTD
 +9.4%  
 +13.6%  
-9.7%  
 +37.6%  
 +19.9%  
  Targets    Overview: 11/29/2023  
  Down arrow34,500 or 36,400 by 12/15/2023
  Down arrow14,500 or 15,800 by 12/15/2023
  Up arrow900 or 825 by 12/15/2023
  Down arrow13,700 or 14,450 by 12/15/2023
  Down arrow4,450 or 4,650 by 12/15/2023
As of 12/08/2023
  Indus: 36,248 +130.49 +0.4%  
  Trans: 15,211 -88.23 -0.6%  
  Utils: 874 -4.30 -0.5%  
  Nasdaq: 14,404 +63.98 +0.4%  
  S&P 500: 4,604 +18.78 +0.4%  
YTD
 +9.4%  
 +13.6%  
-9.7%  
 +37.6%  
 +19.9%  
  Targets    Overview: 11/29/2023  
  Down arrow34,500 or 36,400 by 12/15/2023
  Down arrow14,500 or 15,800 by 12/15/2023
  Up arrow900 or 825 by 12/15/2023
  Down arrow13,700 or 14,450 by 12/15/2023
  Down arrow4,450 or 4,650 by 12/15/2023

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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