SEC Forms 101
In the financial markets, SEC filings are the ultimate source of truth, yet deciphering the legal jargon in forms like 10-Ks or 13-Fs can be overwhelming. SEC Forms 101 is your plain-English guide to navigating the specific details inside these documents. We go beyond simple definitions to break down the actual sections, checkboxes, and line items found in each form. We explain what specific options mean, how to interpret different selection fields, and which details signal genuine opportunity or risk. Whether you are decoding an insider’s transaction code or analyzing a sudden 8-K event, this guide translates complex regulatory structures into clear, actionable investment intelligence. Stop guessing at the fine print—master the mechanics that move the market.
SEC Schedule 13D — A Complete Guide
The ultimate activist signal. Schedule 13D reveals >5% ownership and the specific plans to force corporate change.
SEC Schedule 13G — A Complete Guide
Schedule 13G reports passive stakes over 5%, revealing where large institutional capital is quietly accumulating.
SEC Form 4 — A Complete Guide
SEC Form 4 reveals insider and 10% holder trades, offering timely signals from both executives and institutions.
SEC Form 3 — A Complete Guide
SEC Form 3 establishes insider status and baseline ownership for future Form 4 disclosures.
SEC Form 5 — A Complete Guide
Annual SEC filing for insiders to report deferred transactions, gifts, or missed ownership changes from the fiscal year.
SEC Form 144 - A Complete Guide
SEC filing disclosing an insider's intent to sell restricted or control stock under Rule 144.