COMPANY & FINANCIAL RECORDS
View Company and Financial Information
SEC Registration Statements
COVERAGE: FREQUENCY: UPDATE-SCHEDULE: HIER-LOC: CONTENT-SUMMARY: There are several types of registration statements. "Offering" registrations,
filed under the Securities Act of 1933 are used to register securities before
they are offered to investors. "Trading" registrations, filed under the
Securities Exchange Act of 1934, are filed to permit trading among investors on
a securities exchange or in the Over-The-Counter (OTC) market. Companies
filings under the Investment Company Act of 1940 use a simplified three-part
form that includes a prospectus, additional fund information, and other required
information and exhibits.
SECURITIES ACT OF 1933
The registration statement consist of two sections, Part I containing a
preliminary prospectus (a.k.a. "red herring" prospectus), and Part II containing
additional information not required in the prospectus.
The prospectus will normally include: The additional information required in Part II includes: Valid form-types under the 1933 Act includes: SECURITIES EXCHANGE ACT OF 1934
Registrations filed under the Securities Exchange Act of 1934 are filed to
permit trading among investors on a securities exchange or in the
Over-The-Counter (OTC) market. These registration statements do not include a
prospectus.
Valid form-types under the 1934 Act include: INVESTMENT COMPANY ACT OF 1940
Mutual funds, the most common type of registered investment company, make a
continuous offering of their securities and register on simplified, three-part
forms. The prospectus, or Part A, provide a concise description of the
fundamental characteristics of the initial fund in a way that will assist
investors in making informed decisions about whether to purchase the securities
of the fund. Part B contains additional information about the fund which may be
of interest to some investors but need not be included in the prospectus. Part C
contains other required information and exhibits.
Unit investment trusts, insurance company separate accounts, business
development companies and other registered investment companies register their
shares and provide essential information about them on other registration forms.
Valid form-types under the 1940 Act include: REGISTRATION TYPES
SECURITIES ACT OF 1933
S-1 This is the basic registration form. It can be used to register securities
for which no other form is authorized or prescribed; except, securities of
foreign governments or political sub-divisions thereof.
S-2 This is a simplified optional registration form that may be used by
companies which have reported under the 1934 Act for a minimum of three years
and have timely filed all required reports during the 12 calendar months and any
portion of the month immediately preceding the filing of the registration
statement. Unlike Form S-1 because it permits incorporation by reference from
and delivery to the company's annual report to stockholders.
S-3 This is usually the most simplified registration form and it may only be
used by companies which have reported under the 1934 Act for a minimum of three
years and meet the timely filing requirements set forth under Form S-2. Also,
the offering and issuer must meet the stringent qualitative tests prescribed by
the form. The form maximizes incorporating by reference information from the
1934 Act filings.
S-4 This is used to register securities in connection with business
combinations and applies the principles of the integrated disclosure system to
disclosure in the context of mergers and exchange offers.
S-6 This form is used to register securities issued by unit investment trusts
registered under the Investment Company Act of 1940 on Form N-8B-2.
S-8 This form is used for the registration of securities to be offered solely
to an issuer's employees pursuant to certain plans.
S-11 This form is used to register securities of certain real estate companies
including real estate investment trusts.
S-18 This is an optional form to be used by certain "small issuers" for
registration of securities to be sold for an aggregate cash price of $7.5
million or less. It requires somewhat less disclosure than Form S-1.
S-20 This form may be used to register standardized options where the issuer
undertakes not to issue, clear, guarantee or accept an option registered on Form
S-20 unless there is a definitive options disclosure document meeting the
requirements of Rule 9b-1 of the 1934 Act.
F-1 This is the basic registration form authorized for certain foreign private
issuers. It is used to register the securities of those eligible foreign
issuers for which no other more specialized form is authorized or prescribed.
F-2 This is an optional registration form that may be used by certain foreign
private issuers which are world class issuers (i.e. they have an equity float of
at least $300 million worldwide or are registering non-convertible investment
grade debt securities) or have reported under the 1934 Act for a minimum of
three years. The form is somewhat shorter than Form F-1 because it utilizes
filings made by the issuer under the 1934 Act, particularly Form 20-F.
F-3 This form may only be used by certain foreign private issuers which are
both world class issuers and have reported under the 1934 Act for a minimum of
three years. The form makes maximum use of the 1934 Act filings.
F-4 This form is used to register securities in connection with business
combinations involving foreign private registrants and applies the principles of
the integrated disclosure system to disclosure in the context of mergers and
exchange offers.
F-6 This form is used to register depository shares represented by American
Depositary Receipts issued by a depositary against the deposit of the securities
of a foreign issuer.
INVESTMENT COMPANY ACT OF 1940
N-1A This form is used to register open-end management investment companies
("mutual funds").
N-2 This form is used to register closed-end management investment companies.
N-3 This form is used to register insurance company separate accounts organized
as management investment companies offering variable annuity contracts.
N-4 This form is used to register insurance company separate accounts organized
as unit investment trusts offering variable annuity contracts.
Versions
An initial version of each filing will be available within 24 hours of being
filed at the SEC. This version will usually be in a basic format with a limited
table of contents and a limited number of segments. It will be replaced within
a few days by an enhanced version of the filing that will include additional
segments and a more comprehensive table of contents. In some cases, an enhanced
version of the filing will be available within 24 hours of filing.
The segments described below are based on the enhanced version of the filing.
For a list of the segments valid for both basic and enhanced versions of the
filing, refer to the description of the EDGARP file.
PUBLISHER: SEC Prospectuses COVERAGE: FREQUENCY: UPDATE-SCHEDULE: HIER-LOC: CONTENT-SUMMARY: Typically, several versions of a prospectus will be filed with the SEC, each one
modifying and taking the place of its predecessor, including the preliminary or
so-called "red-herring" prospectus filed with the original registration.
Versions
An initial version of each filing will be available within 24 hours of being
filed at the SEC. This version will usually be in a basic format with a limited
table of contents and a limited number of segments. It will be replaced within
a few days by an enhanced version of the filing that will include additional
segments and a more comprehensive table of contents. In some cases, an enhanced
version of the filing will be available within 24 hours of filing.
The segments described below are based on the enhanced version of the filing.
For a list of the segments valid for both basic and enhanced versions of the
filing, refer to the description of the EDGARP file.
PUBLISHER: SEC Williams Act Filings COVERAGE: FREQUENCY: UPDATE-SCHEDULE: HIER-LOC: CONTENT-SUMMARY: Prior to the 1960's, corporate takeover attempts had typically involved either
proxy solicitations, regulated under Section 14 of the Securities Exchange Act,
or exchange offers of securities, subject to the registration requirements of
the 1933 Act. However, the proliferation of cash tender offers removed a
substantial number of corporate control contests from the reach of existing
disclosure requirements. The Williams Act was adopted in 1968 to establish
disclosure requirements for the purchase by direct acquisition or tender offer
of substantial blocks of the securities of publicly held companies.
Valid form-types under the Williams Act included in this file are: SCD 13D: SC 13E3: SC 13E4: SCH 13G: SCD 14D1: SC 14D9: Versions
An initial version of each filing will be available within 24 hours of being
filed at the SEC. This version will usually be in a basic format with a limited
table of contents and a limited number of segments. It will be replaced within
a few days by an enhanced version of the filing that will include additional
segments and a more comprehensive table of contents. In some cases, an enhanced
version of the filing will be available within 24 hours of filing.
The segments described below are based on the enhanced version of the filing.
For a list of the segments valid for both basic and enhanced versions of the
filing, refer to the description of the EDGARP file.
PUBLISHER: EXCLUSIONS: Form 4 COVERAGE: FREQUENCY: UPDATE-SCHEDULE: HIER-LOC: CONTENT-SUMMARY: Each officer, director and 10% or greater beneficial owner in a company is
required to file a Form 4 with the SEC following a transaction in their
company's stock. They must file by the 10th of the month that follows their
transaction; so, for example, any January trade must be reported by February 10.
After the SEC processes these forms (1-2 days), they are released to the Public
Reference Room. The Washington Service receives copies of these forms on the
same day they are released to the public. Each form is read for errors and then
double-keyed into a database.
PUBLISHER: Form 144 COVERAGE: FREQUENCY: UPDATE-SCHEDULE: HIER-LOC: CONTENT-SUMMARY: their intention to sell restricted stock. These reports include: Any person holding restricted shares, regardless of their affiliation with the
company, is required to file a Form 144 with the SEC prior to selling the
shares. After the form is filed, the shareholder has 90 days in which to sell
the shares. If the shares are not sold after 90 days, the shareholder must
re-file a Form 144 prior to any subsequent sale. When these forms are received
at the SEC, they are processed (usually within 1 day) and released to the Public
Reference Room. The Washington Service receives copies of these forms on the
same day they are released to the public. Each form is read for errors and then
keyed into a database.
People may hold restricted stock for a variety of reasons. Options granted to
insiders may become restricted upon exercise and original investors or
founders or a corporation are often holders of restricted stock. The
requirement to file a Form 144 filer is not limited to insiders. However, if
the filer is an insider, they will be required to file a Form 4 after the sale.
Form 144 activity is often a precursor to insider activity in a company.
PUBLISHER: SEC EDGARPlus Exhibits COVERAGE: FREQUENCY: UPDATE-SCHEDULE: HIER-LOC: CONTENT-SUMMARY: Each filing made with the SEC may include a number of exhibits in addition to
the original form (such as Form 10-K). Each of the exhibits is stored in the
EDGARPlus database as a separate document, allowing more focused searching
and retrieval. This file contains exhibits filed as attachments to 10-Ks,
10-Qs, 8-Ks, Proxy Statements, and Registration Statements.
An exhibit may be filed only once with the SEC, but then, by a process of
"incorporation by reference", the same exhibit may be made part of one or
more later filings that require submission of the same document. Most forms
filed with the SEC will contain a filer-provided list of exhibits. Some
of the entries on that list will refer to exhibits filed together with
the form; other entries will refer to exhibits filed at an earlier date.
Every exhibit filed with the SEC, regardless of the form type, is identified
according to a standard naming convention, e.g. Exhibit 1. Underwriting
Agreement. For a complete list of form-types and exhibit names accepted
by EDGAR, see SPECIAL-CHAR: section of this document.
PUBLISHER: EXCLUSIONS: Zacks Investment Research, Inc. Consensus Earnings Projections COVERAGE: FREQUENCY: UPDATE-SCHEDULE: HIER-LOC: CONTENT-SUMMARY: The estimates are the key element of the Icarus database published by Zacks
since 1978 and widely used by institutional investors to complement brokerage
house research. The information provided in the EARN file is derived from the
same statistical data used to compile the Icarus database.
For each company, Zacks provides EPS information for the next quarter, for the
current fiscal year, for the next fiscal year and for the five years'
cumulative EPS growth rate. The reports also show how many analysts
participated in the estimates and the standard deviation from average
estimates.
PUBLISHER: Vickers Securities Report COVERAGE: FREQUENCY: UPDATE-SCHEDULE: HIER-LOC: CONTENT-SUMMARY: Vickers Securities Report information is extracted from various Securities and
Exchange Commission filings including 13Fs, 13Ds, Form 4s and Form 144s.
Vickers Stock Research Corporation augments these sources with its own survey of
institutions.
Vickers Securities Report provides the securities industry, institutional
investors and corporate officers access to useful securities trading and
ownership information. More than 10,000 common and preferred stocks are cross
referenced by Vickers Institutional Holdings (VICINS), which contains the
transactions and holdings of more than 4600 institutions.
PUBLISHER: Vickers Institutional Holdings COVERAGE: FREQUENCY: UPDATE-SCHEDULE: HIER-LOC: CONTENT-SUMMARY: Vickers Institutional Holdings provides the securities industry, institutional
investors and corporate officers access to securities trading and ownership
information. More than 4,600 institutional holdings are cross referenced by
Vickers Securities Report (VICSEC), which contains security information for
more than 10,000 common and preferred stocks.
PUBLISHER: Stock Reports, Combined HIER-LOC: CONTENT-SUMMARY: COMPLETE FILE: Nelson's Consensus Earnings Estimates COVERAGE: FREQUENCY:
From November 1994 through current
Daily
Within 24 hours of publication;Enhanced version within one week of filing
Area of Law - By Topic/Accounting/Filings/SEC Full-Text Filings
Area of Law - By Topic/Military Justice/Mergers & Acquisitions/Filings/SEC Full-Text Filings
Federal Legal - U.S./Administrative Agency Materials/Individual Agencies
Company & Financial/Financial Filings/U.S. Financial Filings
Area of Law - By Topic/Securities/Filings/SEC Full-Text Filings
Area of Law - By Topic/Corporate/Filings/SEC Full-Text Filings
The Securities and Exchange Commission requires all publicly-held U.S. companies
to file reports disclosing their financial condition, results of operations and
any other information that is of significance to investors. The registration
statement is a key document in the disclosure process.
- description of securities to be registered
- use of proceeds
- risk factors
- determination of offering price
- potential dilution
- selling security holders
- plan of distribution
- interests of named experts and counsel
- information with respect to registrant
- description of business
- legal proceedings
- market price and dividends on common equity
- financial statements
- management discussion and analysis
- changes in and disagreements with accountants
- directors and executive officers
- security ownership of certain beneficial owners and management
- certain relationships and related transactions
- expenses of issuance and distribution
- indemnification of directors and officers
- recent sales of unregistered securities, undertakings, exhibits and financial
schedules
S-1, S-2, S-3, S-4, S-6, S-8, S-11, S-18, S-20, F-1, F-2, F-3, F-4, and F-6
8-A, 8-A12B, 8-A12BEF, 8-A12BT,
8-A12G, 8-B, 8-B12B, 8-B12G, 10, 10-SB, 10-12B, 10-12G, 20-FR, 20FR12B, and
20FR12G.
N-1A, N-2, N-3, N-4.
Disclosure Incorporated
5161 River Road
Bethesda, MD 20816
Back to top
View Company and Financial Information
From April 1993 through current
Daily
Within 24 hours of publication;Enhanced version within one week of filing
Area of Law - By Topic/Accounting/Filings/SEC Full-Text Filings
Area of Law - By Topic/Military Justice/Mergers & Acquisitions/Filings/SEC Full-Text Filings
Federal Legal - U.S./Administrative Agency Materials/Individual Agencies
Company & Financial/Financial Filings/U.S. Financial Filings
Area of Law - By Topic/Securities/Filings/SEC Full-Text Filings
Area of Law - By Topic/Corporate/Filings/SEC Full-Text Filings
The Securities and Exchange Commission requires all publicly-held U.S. companies
to file reports disclosing their financial condition, results of operations and
any other information that is of significance to investors. The prospectus is a
key document in the sale of securities that must be made available to investors
before the sale of any security is initiated. The prospectus is first filed with
the SEC as part of the offering registration. Once the registration has been
approved, any changes required by the SEC are incorporated into the prospectus,
a copy of which is then filed with the SEC as separate documents. The prospectus
will normally include:
- description of securities to be registered
- use of proceeds
- risk factors
- determination of offering price
- potential dilution
- selling security holders
- plan of distribution
- interests of named experts and counsel
- information with respect to registrant:
-description of business
-legal proceedings
-market price and dividends on common equity
-financial statements
-management discussion and analysis
-changes in and disagreements with accountants
-directors and executive officers
-security ownership of certain beneficial owners and management
-certain relationships and related transactions
Disclosure Incorporated
5161 River Road
Bethesda, MD 20816
Back to top
View Company and Financial Information
From April 1993 through current
Daily
Within 24 hours of publication;Enhanced version within one week of filing.
Area of Law - By Topic/Accounting/Filings/SEC Full-Text Filings
Area of Law - By Topic/Military Justice/Mergers & Acquisitions/Filings/SEC Full-Text Filings
Federal Legal - U.S./Administrative Agency Materials/Individual Agencies
Company & Financial/Financial Filings/U.S. Financial Filings
Area of Law - By Topic/Securities/Filings/SEC Full-Text Filings
Area of Law - By Topic/Corporate/Filings/SEC Full-Text Filings
The Securities and Exchange Commission requires all publicly-held U.S. companies
to file reports disclosing their financial condition, results of operations and
any other information that is of significance to investors.
SCD 13D, SC
13E3, SC 13E4, SCH 13G, SC 14D1, and SC 14D9.
Must be filed by any person or group of persons who acquire a
beneficial ownership of more than five percent of a class of registered equity
securities of certain issuers, within ten days of such an acquisition. A
"beneficial owner" is any person who directly or indirectly shares voting power
or investment power (the power to sell the security).
Must be filed by certain companies and their affiliates (such as
companies with any equity securities registered under Section 12 of the 1934
Act) whenever they engage in a transaction to "take the company private." The
transaction could take the form of a merger, tender offer, sale of assets or a
reverse stock split.
Must be filed by certain issuers (such as companies with securities
registered under Section 12 of the 1934 Act) when they are making a tender offer
for their own securities. This schedule is also known as an Issuer Tender Offer
Statement.
Must be filed by "persons" such as banks, broker/dealers, and insurance
companies, when securities have been acquired in the ordinary course of business
and not with the purpose or effect of changing or influencing the control of the
issuer. (This schedule is an abbreviated version of Schedule 13D.)
Must be filed by any person other than the issuer making a tender
offer for certain equity securities where the offer, if accepted, would cause
that person to own more than five percent of that class of the securities.
Copies of the schedule must be sent to the issuer and any competing bidders.
Must be filed when an interested party, such as an issuer, a beneficial
owner of securities, or a representative of either, makes a solicitation or
recommendation to the shareholders with respect to a particular tender offer.
STANDARDIZED NAMES FOR EXHIBITS*
NUMBER NAME
1. Underwriting Agreement
2. Plan of acquisition, reorganization, arrangement, liquidation, or succession.
3. Articles of incorporation and by-laws
4. Instruments defining the rights of security holders, including indentures
5. Opinion re legality
6. Opinion re discount on capital shares
7. Opinion re liquidation preference
8. Opinion re tax matters
9. Voting trust agreement
10. Material contracts
11. Statement re computation of per share earnings
12. Statements re computation of ratios
13. Annual report to security holders, Form 10-Q or quarterly report to security holders
14. Material foreign patents
15. Letter re unaudited interim financial information
16. Letter re change in certifying accountant
17. Letter re director resignation
18. Letter re change in accounting principles
19. Report furnished to security holders
20. Other documents or statements to security holders
21. Subsidiaries of the registrant
22. Published report regarding matters submitted to vote of security holders
23. Consents of experts and counsel
24. Power of attorney
25. Statement of eligibility of trustee
26. Invitations for competitive bids
27. Financial data schedule
28. Information from reports furnished to State insurance regulatory authorities
99. Additional exhibits
* As part of the implementation of the EDGAR system, the numbering scheme for
exhibits was revised. This list reflects the current numbering scheme.
Disclosure Incorporated
5161 River Road
Bethesda, MD 20816
None
Back to top
View Company and Financial Information
From January 1989 through current
Daily;Monday through Friday
Within 24 hours of publication;As released by the Securities & Exchange Commission; Tuesday through Saturday
Area of Law - By Topic/Securities/Filings
Company & Financial/Financial Filings/U.S. Financial Filings
Area of Law - By Topic/Military Justice/Mergers & Acquisitions/Filings
Area of Law - By Topic/Banking/Filings/SEC Filings
Area of Law - By Topic/Corporate/Filings
Area of Law - By Topic/Accounting/Filings
The Washington Service Form 4 reports contain all open market and private purcha
ses and sales reported on SEC Form 4. These reports include: the name of the
filer; their relationship to the company; the transaction date; the number of s
hares bought or sold; the transaction price; and the number of shares held after
the transaction. When a sell transaction can be matched directly with the
exercise of options, that sale is reported as an option-related sale.
The Washington Service
1850 M Street, NW
Suite 950
Washington, DC 20036
Back to top
View Company and Financial Information
From January 1991 through current
Daily;Monday - Friday
Updated regularly - Atypical update schedule/as received from the vendor;As released from the Securities Exchange Commission; Tuesday through Saturday
Area of Law - By Topic/Securities/Filings
Company & Financial/Financial Filings/U.S. Financial Filings
Area of Law - By Topic/Military Justice/Mergers & Acquisitions/Filings
Area of Law - By Topic/Banking/Filings/SEC Filings
Area of Law - By Topic/Corporate/Filings
Area of Law - By Topic/Accounting/Filings
Public Records/Personal Property Locator/Stock Information
The Washington Service Form 144 reports contain notification by shareholders of
the name of
the person selling shares; the number of shares they intend to sell; their
relationship to the issuer; and the broker through which the shares will be
sold.
The Washington Service
1850 M Street, NW
Suite 950
Washington, DC 20036
Back to top
View Company and Financial Information
From April 1, 1994 through current
Daily;Monday - Friday
Within 24 hours of publication
Area of Law - By Topic/Corporate/Filings/SEC Exhibits
Company & Financial/Financial Filings/U.S. Financial Filings
Area of Law - By Topic/Securities/Filings/SEC Exhibits
Area of Law - By Topic/Military Justice/Mergers & Acquisitions/Filings/SEC Exhibits
Area of Law - By Topic/Banking/Filings/SEC Filings/Exhibits
The Securities and Exchange Commission requires all publicly-held U.S.
companies to file reports disclosing their financial condition, results of
operations and any other information that is of significance to investors.
Disclosure Incorporated
5161 River Road
Bethesda, MD 20816
This file is selected-text, exhibits only
Back to top
View Company and Financial Information
Most recent two months
Monthly
Updated regularly - Atypical update schedule/as received from the publisher
Company & Financial/Financial Markets
The Chicago consulting firm of Zacks Investment Research, Inc., specializes in
collecting estimates of corporate earnings, from which it generates consensus
forecasts. Zacks surveys daily the research reports and opinions of some 1,200
leading securities analysts from about 70 brokerage and investment banking
firms. From this information, it extracts estimates of earnings-per-share
(EPS) for over 3,000 firms listed on stock exchanges or traded over the
counter.
Zacks Investment Research, Incorporated
2 North Riverside Plaza
Room 1900
Chicago, IL 60606
Back to top
View Company and Financial Information
More than 10,000 securities
Monthly
Updated regularly - Atypical update schedule/as received from the publisher
Company & Financial/Financial Markets
Vickers Stock Research is a leading provider of institutional and insider
holdings data. Vickers data is widely used by the Wall Street community, as
well as stock and bond traders, portfolio managers, registered reps, security
reps, security analysts, arbitrators and investor relations officers of
publicly held companies.
Vickers Stock Research Corporation
226 New York Avenue
Huntington, NY 11743
Back to top
View Company and Financial Information
More than 4,600 institutions
Monthly
Within 48 hours of publication
Company & Financial/Financial Markets
Vickers Stock Research is a leading provider of institutional and insider
holdings data. Vickers data is widely used by the Wall Street community, as
well as stock and bond traders, portfolio managers, registered reps, security
reps, security analysts, arbitragers and investor relations officers of
publicly held companies. Vickers Institutional Holdings information is
extracted from various Securities and Exchange Commission filings, including
13Fs, 13Ds, Form 4s and Form 144s. Vickers Stock Research Corporation
auguments these sources with its own survey of institutions.
Vickers Stock Research Corporation
226 New York Avenue
Huntington, NY 11743
Back to top
View Company and Financial Information
Company & Financial/Financial Markets
The Stock Reports Group File combines security ownership reports for more than
10,000 US stocks, and earnings projections for more than 3,000 US corporations.
Nelson's Company Research Reports
Nelson's Consensus Earnings Estimates
Vickers Institutional Holdings
Vickers Securities Report
Zacks Investment Research, Inc. Consensus Earnings Projections
Back to top
View Company and Financial Information
From November 19, 1999 through current
Weekly