Important Forms for SEC Filings

A talented CEO and board member, Deirdre Gillespie specializes in such business areas as general management, clinical development, and corporate finance. Dr. Deirdre Gillespie has raised $200 million in equity financing, maintained high corporate governance standards, and overseen SEC reporting and filings.

Through the United States Securities and Exchange Commission (SEC), investors get a clear view of the history and progress of a company. There are several different forms associated with SEC reporting and filings, starting with registration statements, which are filed by all foreign and domestic companies unless they qualify for an exemption. Registration statements consist of the prospectus, a legal document that details how a business operates and provides insight into any investment risk, and additional information, which includes such things as recent sales of unregistered securities. For companies that are private and looking into becoming public, S-1 and S-2 forms, detailing past revenue and current stock owners, are required.

10-K reports and 10-Q reports are also important SEC filings. The 10-K is filed every year within 90 days of the fiscal year’s end, and includes a business summary and financial statements to allow comprehensive analysis of the company in question. Meanwhile, the 10-Q, submitted within 45 days of the end of each of the first three quarters of the fiscal year, includes information about a company’s direction and new developments. For any information not covered in the 10-K and 10-Q, companies must file an 8-K, an unscheduled document that further details companies’ information and may include such materials as press releases.


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