The SEC filing is a financial statement or other formal document submitted to the U.S. Securities and Exchange Commission (SEC). Public companies , certain insiders, and broker-dealers are required to make regular SEC filings. Investors and financial professionals rely on these filings for information about companies they are evaluating for investment purposes. Many, but not all SEC filings are available online through the SEC's EDGAR (Electronic Data Gathering, Analysis, and Retrieval) database and as structured datasets in the Harvard Dataverse.
7-536: Form S-1 is an SEC filing used by companies planning on going public to register their securities with the U.S. Securities and Exchange Commission (SEC) as the "registration statement by the Securities Act of 1933". The S-1 contains the basic business and financial information on an issuer with respect to a specific securities offering. Investors may use the prospectus to consider the merits of an offering and make educated investment decisions. A prospectus
14-465: A Form S-1 on a confidential basis, only making the contents public 21 days prior to the road show for the IPO. This quickly became a popular method for even established companies (such as Manchester United and MGM Studios ) to conduct securities offerings. SEC filing The most commonly filed SEC forms are the 10-K and the 10-Q. These forms are composed of four main sections: The business section,
21-469: Is also accompanied by management's expectations for the upcoming year. Other filings are required with respect to offerings by private companies . The filings accepted by the SEC as of November 2011. All forms are filed with the SEC, and many can be found for free in the SEC's EDGAR database. There are also several other portals that specialize in sorting information found in individual forms, such as
28-428: Is one of the main documents used by an investor to research a company prior to an initial public offering ( IPO ). Other less detailed registration forms, such as Form S-3 , may be used for certain registrations. Every business day, S-1 forms are filed with the SEC's EDGAR filing system , the required filing format of the U.S. Securities and Exchange Commission. However many of these are of the related Form S-1/A, which
35-468: Is used for filing amendments to a previously filed Form S-1. The S-1 form has an OMB approval number of 3234-0065 and the online form is only 8 pages long. However the simplicity of the form's design is belied by the OMB Office 's figure of the estimated average burden – 972.32 hours. This means that much time and effort in preparation of the form is being used to collect and display information about
42-632: The F-pages, the Risk Factors, and the MD&;A. The business section provides an overview of the Company. The F-pages contain the financial statements which are either audited or reviewed by an independent auditor. The Risk Factors contain a list of all of the potential risks that exist for the company. While the MD&A contains a narrative about the financial results of the company. This narrative
49-508: The filer (a corporate registrant or new registrant who intends to offer securities). The S-1 form requires that the registrant provide information from diverse sources and incorporate this information using many rules or regulations, such as General Rules and Regulations under the Securities Act, Regulation C, Regulation S-K and Regulation S-X . Under the JOBS Act , it has been possible since April 2012 for "emerging growth companies" to file
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