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Library Guide to SEC Filings


Quick Guide to Common Forms


Web Sites with SEC Forms

SEC Edgar (www.sec.gov) Online
LexisNexis Academic 1969 - present.    delicious logo Save to del.icio.us
Selected full text 1980 - present.

Online
Mergent Online      delicious logo Save to del.icio.us
Global company financial data
Online

Form Descriptions

4 Statement of Change in Beneficial Ownership (see also 144)
(Securities Acquired and Disposed )
8K Current Report (updates the 10K) (bankruptcy, unscheduled material events, change of officers )
10K Annual Report, must be filed within 75 days of year end
10Q, 8Q Quarterly Report, must be filed within 45 days of year end
13D, 13G, 13F Detail holdings of major investors, institutional or individual (5% or greater)

DEF 14A Proxy (Definitive Materials) filed by non-management; executive compensation and stock ownership; related party transactions and relationships – check these carefully

DEFA14A Proxy Additional definitive soliciting materials and Rule 14(a)(12) material

DEFC14A,C Proxy Statement relating to contested solicitations
DEFM14A,C Proxy Statement relating to a merger or acquisition
DEFN14A Proxy Statement filed by non-management not in connection with contested solicitations
144 Intention to sell shares (see also 4)
424 Prospectus-
ARS Annual Report to Shareholders

S-1, SB-1, F-1 General Registration Statement; issuing of new shares or secondary offerings


For further assistance, please contact the
Miller Nichols Library Reference Desk at (816) 235-1534.

Created and maintained by Chris Le Beau

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