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SEC Fillings: Listed below are items that may or may not require the filing of an...

SEC Fillings:
Listed below are items that may or may not require the filing of an SEC form. For each item ibelow, select the appropriate form from the list provided. A selection may be used once, more than once, or not at all.

      -       1.       2.       3.       4.       5.       6.       7.       8.       9.       10.       11.       12.       13.       14.   

There is a change in beneficial ownership.
      -       1.       2.       3.       4.       5.       6.       7.       8.       9.       10.       11.       12.       13.       14.   

There is a change in control of the company.
      -       1.       2.       3.       4.       5.       6.       7.       8.       9.       10.       11.       12.       13.       14.   

The annual report providing a comprehensive overview of a company's business and financial condition.
      -       1.       2.       3.       4.       5.       6.       7.       8.       9.       10.       11.       12.       13.       14.   

A brief notice that provides information about a company and offering that is raising less than $1 million and need not be registered with the SEC but is required to file.
      -       1.       2.       3.       4.       5.       6.       7.       8.       9.       10.       11.       12.       13.       14.   

To report required disclosures as specified under Rule 504 of Regulation B.
      -       1.       2.       3.       4.       5.       6.       7.       8.       9.       10.       11.       12.       13.       14.   

To report insider transactions that should have been reported earlier or were eligible for deferred reporting.
      -       1.       2.       3.       4.       5.       6.       7.       8.       9.       10.       11.       12.       13.       14.   

To disclose whether a company that is an accelerated filer makes periodic and current reports available, free of charge, on its website.
      -       1.       2.       3.       4.       5.       6.       7.       8.       9.       10.       11.       12.       13.       14.   

A current report to announce major events that shareholders should know about.
      -       1.       2.       3.       4.       5.       6.       7.       8.       9.       10.       11.       12.       13.       14.   

The report filed for each of the first three quarters of the company's fiscal year.
      -       1.       2.       3.       4.       5.       6.       7.       8.       9.       10.       11.       12.       13.       14.   

The initial filing of a statement of beneficial ownership.
1.

Form 2
2.

Form 4
3.

Form 8-K
4.

Form 10-K
5.

Form A
6.

Form C
7.

Form S-T
8.

Form 3
9.

Form 5
10.

Form 8-Q
11.

Form 10-Q
12.

Form B
13.

Form D
14.

None

Solutions

Expert Solution

The Securities and Exchange Commission (SEC) of U.S. is an independent federal government agency. Its primary objectives are to facilitate capital formation by protecting interest of investors as well as fair and orderly regulation of the securities markets. To serve this purpose, it created different forms for different purposes and companies are required to fill all applicable forms and provide their information.

There is a change in beneficial ownership.

2. Form 4

There is a change in control of the company.

3. Form 8-K

The annual report providing a comprehensive overview of a company's business and financial condition.

4. Form 10-K

A brief notice that provides information about a company and offering that is raising less than $1 million and need not be registered with the SEC but is required to file.

13.Form D

To report required disclosures as specified under Rule 504 of Regulation B.

14. None

To report insider transactions that should have been reported earlier or were eligible for deferred reporting.

9. Form 5

To disclose whether a company that is an accelerated filer makes periodic and current reports available, free of charge, on its website.

8. Form 3

A current report to announce major events that shareholders should know about.

3. Form 8-K

The report filed for each of the first three quarters of the company's fiscal year.

11. Form 10-Q

The initial filing of a statement of beneficial ownership.

8. Form 3

ekkarill92 answered 2 years ago
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