Just memorize this:
SEC FORMS
3,4, & 5 → Filed by BOD [Beneficial Owners; Officers; Directors] of more than 10% of a class of equity securities of a registered company
6-K → Qtrly – Foreign Private Issuers (DUI)
D – Certain disclosures
U – Unaudited FS (reviewed)
I – Interim MDA
Deadline:
40 Days After the end fiscal qtr for LAF
45 Days After the end fiscal qtr for ALL other registrants
8 – K → Reports changes in SCAM
S – Securities & trading markets
C – Corporate governance & mgt.
A – Accountants & FS
M – Major corporate events
10-K → Annual – US Private issuers (MADS)
M – MDA
A – Audited FS
D – Financial Disclosure
S – Summary of Financial Data
Deadline: 60 After the end fiscal year for LAF
75 After the end fiscal year for AF
90 After the end fiscal year for All other registrants
→ Include SHHOEE
S – Subsidiary
H – Company history
H – Holdings
O – Organizational chart
E – Equity
E – EPS
10-Q → Qtrly – US Public Issuers (DUI)
11-K → Company' Employee Annual Benefit Plan
20-F → Annual – Non US Private Issuers (MADS)
40-F → Annual – Non US Private Issuers (MADS) – Canada
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