Options Glossary

Glossary: SEC Filings

Last Updated: November 26, 2022

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SEC Filings

What Does SEC Filings Mean in Options Trading?

The SEC filings that all publicly traded companies are required to file are:

1) 10-K: The annual report that a company files with the SEC. It includes information on the company's financial statements, as well as its business operations and management.

2) 10-Q: The quarterly report that a company files with the SEC. It includes information on the company's financial statements and business operations for the previous three months.

3) 8-K: The current report that a company files with the SEC. It includes information on major events that have occurred since the company's last 10-K or 10-Q filing, such as a change in control of the company, bankruptcy, or material contracts.

4) 13-D: The beneficial ownership report that a company files with the SEC when an individual or group acquires a 5% or greater stake in the company.

5) 13-G: The beneficial ownership report that a company files with the SEC when an institutional investor acquires a 5% or greater stake in the company.

6) Schedule 13D-G: The "disclosure" schedule that an individual or group must file with the SEC when they cross the 5% ownership threshold in a company.

7) Schedule 13G: The "short form" beneficial ownership report that an institutional investor can file with the SEC instead of a Schedule 13D-G.

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