针对foreign issuer, 下面几种是常见的SEC filing: 6-K:(注册地不在美国的外国公司披露特定信息), filing 其实是一种公开披露的形式。有些公司在披露负面新闻(例如高管董事离职等),会选择不发新闻稿而只做6K,达到披露要求但关注度低。另外每个季度财报也会被作为附件file 6K。 - 20-F(注册地不在美国的外国公...
常见SEC Filing 类别: Form S-1(F-1): 即 IPO Registration,也就是招股书(Prospectus),包含IPO初始上市的信息,F-1是外国公司的招股书。 Form S-4(F-4): 已经上市的公司发新的股票所做的公告,外国公司的为F-4。 Form 10-K(20-F):每一个财政年度公司需要发布的年度报告 Form 10-Q:每个季度发布的报...
外国公司在美国发行的存托凭证并非强制要求提交 10-Q和8-K财务报表,因此 Form 6-K 经常用来传递季报/年报的财务信息。当非美国公司向SEC提交年度、半年度或季度财务报告时,需要使用6-K表格作为封面声明,并且6-K表格涵盖了在年度和季度财务报告之间出现的重要信息。 4、Form 8-A / 公司注册表 Form8-A是用于在...
Filing, S E CChinese Search Report; Application No. 2010800301808; Filing Date: Jul. 5, 2010; 2 pages.C. Jordan, A. Friese, P. Heywood, A. Barber. Patent Application Number: EP20100195647 Publication Date: 06/20/2012 Filing Date: 12/17/2010, International classification B27B 17/08....
In conclusion, SEC Form F-10 is an essential filing requirement for foreign companies looking to offer securities to U.S. investors. By adhering to this form, companies ensure regulatory compliance and provide investors with the necessary information to make informed investment decisions. As a finan...
首先,需要进入美国证券交易委员会SEC的官网,在Filing中找到Company Filing Search。然后,可以在搜索框中输入想要获取信息的公司名或者是公司的股票代码,就可以在View Filings文件列表中找到S-1文件了。 值得一提的是,除了S-1文件,在文件列表中我们还可以看到名为S-1/A的文件,S-1/A是S1文件的补充文件,A是指Amend...
The SEC staff has informally confirmed that a company must check the first box when the filing reflects the correction of an accounting error and “previously issued” financial statements included in the Form 10-K are corrected. An “out of period adjustment” does not require a ...
(A Form 10-K is an annual report required by the U.S. Securities and Exchange Commission (SEC), that gives a comprehensive summary of a company's financial performance. )公司在申报时可通过Filing Type(申报类型)进行选择。一般来说,美国证监会要求上市公司于其财年年度结束后的六个月内提交年报...
10-Q and 10-K Filing Deadlines Source: Investor.gov Failure to Meet the Form 10-Q Filing Deadline When a company fails to file a 10-Q by the filing deadline, it must make a non-timely (NT) filing of SEC FormNT 10-Q. An NT filing must explain why the deadline has not been me...
Filing Amendments Form 10-K/A is compiled and filed when the company makes anamendmentto the Form 10-K after it has been published.3 It is not an uncommon occurrence to file a 10-K/A. Investors should review these amendments to ensure that they do not materially change the investment...