Question

This is the part of a project report The company is Apple Inc.

Question: For other student-groups in your class, prepare a list of five forms that your company is filing with the SEC excluding 10 K and DEF 14A (proxy filing) and discuss information disclosed in DEF 14A and another form filed with the SEC.

Answer 1

1.THE 10-Q

the 10-Q tenderely referred to as "the Q" is the filling that you complete for the first,second,third quarters.this filing must be reviewed,but not audited by an independent auding firm.it contains traditional financial statement and footnotes but it also contain management discussion and analysis.

2.THE 8-K

the 8-K is used to report the material event to the shareholders.companies that do earnings release will file a 8-K that contain earnings release and the curresponding earnings press release as an atached exhibit.another very common 8-K is for any salary or stock option adjustement that the company grants to "section 16 officer"of the company

3.FORM 3,4 AND 5

These are used to report any transaction that an officer or director has in the stock of the public company that they work for.these filing are only required for individual that the SEC defines as Section 16 officer

the form 3 is used for the very first stock transaction that the section 16 individual has in the company's stock

the form 4 is used for subsequent company stock transaction

form 5 is used for any transactions that the section 16 officer failed to report earlier on a form 3 or form 4.

4.THE S-3

THE S-3 is used as the shelf regestration statement "tis registers a certain amount of equity or debt securities that can be sold at a later date to the public

5.THE S-1

the S-1 is used in an initial public offering.this statement is similar to S-3,except that it is only used for the first time that the company wants to sell registered shares or debt as a publicly traded company registered with SEC.

DEF 14A

SEC FORM DEF 14A is a filing with the securities and exchange commisioner (SEC) that must be filend on or on behalf of a registrant when a shareholder vote is required.it is commonly used in conjection with an annual meeting proxy The form should provide security holders with sufficient information to allow them to make an informed vote at an upcoming security holders' meeting or to authorize a proxy to vote on their behalf.t includes information about the date, time and place of the meeting of security holders; revocability of proxy; dissenter's right of appraisal; persons making the solicitation; direct or indirect interest of certain persons in matters to be acted upon; modification or exchange of securities; voting procedures; and other perfunctory details