What is the difference between a 10-K and a 10-Q?

A 10-K is the annual report with deeper audited disclosures; a 10-Q is a quarterly update that’s shorter and typically unaudited but still detailed.

An 8-K is a current report for significant events (e.g., material agreements, earnings releases, leadership changes, restructurings).

Form 4 reports insider transactions (officers, directors, and certain owners) such as buys, sells, grants, and option exercises.

What’s the difference between 13D and 13G?

Both relate to beneficial ownership reporting. 13D is generally for active/strategic intent; 13G is a shorter form often used by passive investors, depending on eligibility.

SEC Filings Guide | 10-K, 10-Q, 8-K, S-1, Form 4 & 13D/13G

Common SEC Forms and What They’re For

10-K: annual report (business, risks, financials, MD&A).
10-Q: quarterly update (financials + operational changes).
8-K: material event report (what changed, why it matters).
S-1: registration statement (often IPO-related disclosures).
DEF 14A: proxy statement (governance, comp, votes).
Form 4: insider transactions.
13D/13G: ownership disclosures.

What to Look For (Quick Checklist)

Risk factors: new risks added? wording changes?
Guidance/forward-looking: changes vs last quarter/year.
Cash & debt: runway, covenants, refinancing risk.
Share count: dilution, buybacks, SBC trends.
Related-party: unusual transactions, governance red flags.

FAQ

Which filings matter most for fast-moving news?

8-Ks and press-release exhibits can move quickly. For deeper diligence, 10-K/10-Q are the core.