Form Templates

Forms 

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Description

Form ID

Instructions for Applying for Filing Codes 

13F 

Investment Manager Holdings Report

Form 3

Initial Statement Of Beneficial Ownership

Form 4

Statement Of Changes In Beneficial Ownership

Form 5

Annual Statement Of Changes In Beneficial Ownership

Form 12b-25

Notification Of Late Filing

Form 13h

Large Trader Registration

Form 144

Notice Of Proposed Sale Of Securities

Form D

Notice of Exempt Offering of Securities

SC13D

Schedule to report acquisition of beneficial ownership of 5% or more of a class of securities.

SC13G

Schedule to report beneficial ownership of 5% or more of a class of securities by passive investors

S-1

 Registration statement under Securities Act of 1933 

1-A

Regulation A Offering Statement  

C

CrowdFunding Offering Statement 

TA-1

Uniform form for registration as a transfer agent and for amendment to registration 

TA-2 

Form for reporting activities of transfer agents

TA-W  

Notice of withdrawal from registration as transfer agent

F-1

Registration statement for securities of certain foreign private issuers

8-K

Current Report

10-K

Annual Report

10-Q  

Quarterly Report

6-K

Report of foreign private issuer pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934 

15

Notice of termination of registration under Section 12(g) or suspension of duty to file reports under Sections 13 and 15(d)

15F 

Certification of a foreign private issuer’s termination of registration of a class of securities under Section 12(g) or its termination of the duty to file reports under Section 13(a) or Section 15(d)

25

Notification of the removal from listing and registration of matured, redeemed or retired securities

DEF14A

 Proxy Statement Pursuant to Section 14(a) of the Exchange Act

DEF14C

Information Statement Pursuant to Section 14(c) of the Exchange Act