S79 Forms

Form 3

Filed when someone becomes a corporate insider, such as an officer, director, or >10% shareholder.

Form 4

Filed when a corporate insider changes their holdings.

Form 5

Used by a corporate insider to report certain securities transactions not in the public market.

Schedule 13D

Reports beneficial ownership of more than 5% for an active investor.

Schedule 13G

Reports beneficial ownership of more than 5% for a passive investor.

Schedule 13E-3

Filing used in a going-private transaction.

Form 13F

Quarterly filing by institutional investment managers with $100M+ in assets.

Form 144

Filed by a corporate insider preparing to sell shares.

Form 10-Q

Quarterly financial report.

Form 10-K

Annual financial report.

Form 8-K

Current report for major/newsworthy corporate events.

PRE14A

Preliminary proxy statement.

DEF14A

Definitive proxy statement distributed to shareholders.

Schedule TO

Contains the terms of a tender offer.

Schedule 14D-9

The target company board’s response to a tender offer.

Form S-1

Long-form registration statement, generally used for an IPO.

Form S-3

Short-form registration statement, generally used for a follow-on offering.

Form S-4

Registration statement used for mergers/business combinations.

Form S-8

Registration form for employee benefit plans.

Form S-11

Registration form used for REITs.