SEC Reporting Solution - Filing Types
This solution will strictly provide SEC drafting and submission access to the form types contained in, but not limited to, the various Annual, Quarterly, and Periodic reports under the 1934 Securities Exchange Act, statements filed pursuant to Section 14, the Williams Act, and others.
It will not, for example, provide SEC draft and submission access to Capital Markets related forms. Workiva's definition of Capital Markets for purposes of Capital Markets Solution offering includes forms and activities that support transactions such as, but not limited to, M&A, Private Placements, Take-Private, Uplisting, Spinoff/Carveout, IPO, and various other securities offerings (i.e., Debt and Equity registration and issuances). Additionally, Various Investment Company Submission types, or other submission types related to certain transactions or registration statements, are excluded from the SEC Reporting Solution.
Below are the submission types the SEC Reporting solution provides access to.
Note: All Section 16 filings will be included for Capital Markets, SEC, and Investment Reporting solutions.
Submissions Pursuant to SDR
| SDR | SDR-CCO | SDR-CCO/A |
Asset-backed Securities Report Pursuant to Section 15G
| ABS-15G | ABS-15G/A | ABS EE | ABS EE/A |
Employment Transition Report Pursuant to Section 932(h)(5)
| ETR |
Various 1933 Securities Act Registration Statements
| AW WD | RW WD | S-8 | S-8 POS |
Prospectuses Filed Pursuant to Rule 424
| 424H | 424H/A |
1934 Securities Exchange Act Proxy Materials and Information Statements Filed Pursuant to Section 14
| DEF 14A | DEF 14C | DEFA14A | DEFA14C | DEFC14A | DEFC14C |
| DEFM14A | DEFM14C | DEFN14A | DEFR14A | DEFR14C | DFAN14A |
| DFRN14A | PRE 14A | PRE 14C | PREC14A | PREC14C | PREM14A |
| PREM14C | PREN14A | PRER14A | PRER14C | PRRN14A | PX14A6G |
| PX14A6N | SC 14N | SC 14N/A | SC 14N-S | SC 14N-S/A |
Submission Types for Business Development Companies
| N-54A | N-54A/A | N-54C | N-54C/A | N-6F | N-6F/A |
Company Act Registration Statements
| N-8A | N-8A/A | N-8B-2 | N-8B-2/A | N-8B-3 | N-8B-3/A |
| N-8B-4 | N-8B-4/A |
Williams Act Submission Types
| CB | CB/A | F-N | F-N/A | SC 13D | SC 13D/A |
| SC 13E1 | SC 13E1/A | SC 13E3 | SC 13E3/A | SC 13G | SC 13G/A |
| SC 14D9 | SC 14D9/A | SC14D9C | SC 14F1 | SC 14F1/A | SC TO-C |
| SC TO-I | SC TO-I/A | SC TO-T | SC TO-T/A | SC13E4F | SC13E4F/A |
| SC14D1F | SC14D1F/A | SC14D9F | SC14D9F/A |
Miscellaneous 1933 Securities Act Submission Types
| 425 |
Ownership Submissions Pursuant to Section 16 or Rule 144
| 144 | 144/A |
Development Bank Submission Types
| ANNLRPT | ANNLRPT/A | DSTRBRPT | DSTRBRPT/A | QRTLYRPT | QRTLYRPT/A |
Nationally Recognized Statistical Rating Organization Submission Types
| NRSRO-UPD | NRSRO-CE | NRSRO-CE/A | NRSRO-WREG | NRSRO-WCLS | NRSRO-FR |
| NRSRO-FR/A |
Annual, Quarterly, and Periodic Reports
| 10-D | 10-D/A | 10-K | 10-K/A | 10-KT | 10-KT/A |
| 10-Q | 10-Q/A | 10-QT | 10-QT/A | 11-K | 11-K/A |
| 11-KT | 11-KT/A | 15-12B | 15-12B/A | 15-12G | 15-12G/A |
| 15-15D | 15-15D/A | 15F-12B | 15F-12B/A | 15F-12G | 15F-12G/A |
| 15F-15D | 15F-15D/A | 18-K | 18-K/A | 20-F | 20-F/A |
| 40-F | 40-F/A | 6-K | 6-K/A | 8-K | 8-K/A |
| 8-K12B | 8-K12B/A | 8-K12G3 | 8-K12G3/A | 8-K15D5 | 8-K15D5/A |
| ARS | ARS/A | NT 10-D | NT 10-D/A | NT 10-K | NT 10-K/A |
| NT 10-Q | NT 10-Q/A | NT 11-K | NT 11-K/A | NT 15D2 | NT 15D2/A |
| NT 20-F | NT 20-F/A | SP 15D2 | SP 15D2/A | IRANNOTICE | SD |
| SD/A | ABS-EE | ABS-EE/A |
1934 Securities Exchange Act Registration Statements
| 8-A12B |
Certification by an exchange approving securities for listing
| CERT |
Other Submissions Pursuant to the Trust Indenture Act
| 305B2 | 305B2/A |
Prospectuses Filed Pursuant to Rule 424
| 424A |
Various Investment Company Submission Types
| AW | DEL AM | POS 8C | POS AMI | POS EX | POS462B |
| POS462C | RW | UNDER | UNDER/A |
Information Required of Institutional Investment Managers Pursuant to Emergency Order, Securities Exchange Act of 1934
| SH-ER | SH-ER/A | SH-NT | SH-NT/A |
Withdrawal of an application for exemptive or other relief from the federal securities laws
| APP WD | APP WD/A |
Regulation A, pursuant to the Section 401 of Jumpstart Our Business Startups Act
| 1-A-W | 1-A-W/A | 1-Z-W | 1-Z-W/A | DOSLTR | 253G1 |
| 253G2 | 253G3 | 253G4 | 1-SA | 1-SA/A | 1-U |
| 1-U/A |
Miscellaneous Investment Company Reports
| N-CR | N-CR/A |
Private Submission Types
| CORRESP |
Module and Segment Submissions
| MODULE | SEGMENT |
Bulk Submissions
| BULK |
Other miscellaneous filing types
| 13F-NT | 13F-NT/A | 13F-HR | 13F-HR/A |
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