美国上市公司提交SEC文件代码内容

SECMaterialsSECFormTypesandDefinitionsForaformwithamendments,useformtypeimmediatelyfollowedbya?A.FormTypeDefinitionNotesFormID1Applicationfor,andamendmentstoapplicationfor,registrationasanationalsecuritiesexchangeorexemptionfromregistrationpursuanttosection5oftheexchangeact.193510Thisisthegeneralformforregistrationofsecuritiespursuanttosection12(b)or(g)ofthe'34Actofclassesofsecuritiesofissuersforwhichnootherformisprescribed.Itrequirescertainbusinessandfinancialinformationabouttheissuer.13961012B('34Act)-Generalformfortheregistrationofsecuritiespursuanttosection12(b).1012G('34Act)-Generalformfortheregistrationofsecuritiespursuanttosection12(g).10-CThisformmustbefiledbyanissuerwhosesecuritiesarequotedontheNasdaqinterdealerquotationsystem.Reportedontheformisanychangethatexceedsfivepercentinthenumberofsharesoftheclassoutstandingandanychangeinthenameoftheissuer.Thereportmustbefiledwithintendaysofsuchchange.Obsolete181110-DAsset-backedissuerdistributionreportpursuanttoSection13or15(d)ofTheSecuritiesExchangeActof1934.10-KThisistheannualreportthatmostreportingcompaniesfilewiththeCommission.Itprovidesacomprehensiveoverviewoftheregistrant'sbusiness.Thereportmustbefiledwithin90daysaftertheendofthecompany'sfiscalyear.167310-K405IndicatesthecompanywasinviolationofSection16(anofficerordirectorfailedtofileaForm3,4,or5ontime).10-KSBThisistheannualreportfiledbyreportingsmallbusinessissuers.Itprovidesacomprehensiveoverviewofthecompany'sbusiness,althoughitsrequirementscallforslightlylessdetailedinformationthanrequiredbyForm10-K.Thereportmustbefiledwithin90daysaftertheendofthecompany'sfiscalyear.233710-KSB405Optionalformforannualandtransitionreportsofsmallbusinessissuersundersection13of15(D).The405indicatesthattheRegulationS-BItem405boxhasbeencheckedindicatingthefailuretofiletheForms3,4,and5filingson-time.Obsolete10-KTWithrelationtoannualreports.TransitionreportspursuanttoRule13a-10or15d-10.10-MIrrevocableappointmentofagentbyindividualnonresidentbrokerordealer.87910-QTheForm10-Qisareportfiledquarterlybymostreportingcompanies.Itincludesunauditedfinancialstatementsandprovidesacontinuingviewofthecompany'sfinancialpositionduringtheyear.Thereportmustbefiledforeachofthefirstthreefiscalquartersofthecompany'sfiscalyearandisduewithin45daysofthecloseofthequarter.129610-QSBTheForm10-QSBisfiledquarterlybyreportingsmallbusinessissuers.Itincludesunauditedfinancialstatementsandprovidesacontinuingviewofthecompany'sfinancialpositionandresultsofoperationsthroughouttheyear.Thereportmustbefiledforeachofthefirstthreefiscalquartersandisduewithin45daysofthecloseofthequarter.233410-QTWithrelationtoquarterlyreports.TransitionreportspursuanttoRule13a-10or15d-10.10-SBThisisthegeneralformforregistrationofsecuritiespursuanttoSections12(b)or(g)ofthe'34Actforsmallbusinessissuers.Thisformrequiresslightlylessdetailedinformationaboutthecompany'sbusinessthanForm10requires.233611-KThisformisaspecialannualreportforemployeestockpurchase,savings,andsimilarplans,interestsinwhichconstitutesecuritiesregisteredunderthe1933Act.TheForm11-Kannualreportisrequiredinadditiontoanyotherannualreportoftheissuerofthesecurities(e.g.,acompany'sannualreporttoallshareholdersorForm10-K).61711-KTAnnualreportsofemployeestockpurchase,savingsandsimilarplanspursuanttoRule13a-10or15d-10.12b-25Thisformisusedasanotificationoflatefilingbyareportingcompanythatdeterminesthatisunabletofilearequiredperiodic1344reportwhenfirstduewithoutunreasonableeffortorexpense.IfacompanyfilesaForm12b-25,itisentitledtorelief,butmustfiletherequiredreportwithinfivecalendardays(foraForm10-Qor10-QSB)orwithinfifteencalendardays(foraForm10-K,10-KSB,20-F,11-K,orN-SAR).12G3-2BExemptionsforAmericanDepositaryReceiptsandCertainForeignSecurities.13DInformationtobeincludedinstatementsfiledpursuanttoRule13-a(a)andamendmentstheretofiledpursuanttoRule13d-2(a).174613E-3TransactionstatementpursuanttoRule13(e)oftheSecuritiesExchangeActof1934.189313E-4FSchedule13E-4F.228313FThisisaquarterlyreportofequityholdingsbyinstitutionalinvestmentmanagershavingequityassetsundermanagementof$100millionormore.Includedinthiscategoryarecertainbanks,insurancecompanies,investmentadvisers,investmentcompanies,foundationsandpensionfunds.168513FE('34Act)-Quarterlyreportofequityholdingsbyinstitutionalinvestmentmanagershavingequityassetsundermanagementof$100millionormore.Includedinthiscategoryarecertainbanks,insurancecompanies,investmentadvisers,investmentcompanies,foundationsandpensionfunds.13GInformationtobeincludedinstatementsfiledpursuantto240.13d-1(G)andamendmentstheretofiledpursuantto240.13d-1(G).1745144ThisformmustbefiledasnoticeoftheproposedsaleofrestrictedsecuritiesorsecuritiesheldbyanaffiliateoftheissuerinrelianceonRule144whentheamounttobesoldduringanythreemonthperiodexceeds500sharesorunitsorhasanaggregatesalespriceinexcessof$10,000.114714A('34Act)-Aproxystatementisadocumentwhichisintendedtoprovidesecurityholderswiththeinformationnecessarytoenablethemtovoteinaninformedmanneronmattersintendedtobeacteduponatsecurityholders'meetings,whetherthetradit