College Savings Quizzes-The SEC form that provides annual

Answer to Quiz

The SEC form that provides annual information on a publicly held company is:

Answer: (b), Form 10-K
"Form 10-K" is the SEC form required to be filed by publicly held companies that provides annual financial information. "Form 10-Q" is the form required by the SEC to be filed by public companies on a quarterly basis, which includes quarterly financial information of the company. "Form 8-K" is an SEC filing that a publicly-traded company must file to report any material changes or corporate events that may affect shareholders or may be of interest to the SEC. Events such as mergers, acquisitions, changes in top leadership, and bankruptcy are changes that must be reported on an 8-K form. "Form 5" is an SEC form that must be filed annually by directors and officers of a public company, as well as by anyone who owns 10 percent or more of a publicly-traded company's outstanding stock, to update the status of such an insider's holdings of that company's stock and relationship with the company. A Form 5 must be filed by any insider who has made any unreported transactions during that year. (While transactions that involve a material change are required to be reported on a Form 4, certain small transactions are excluded from this reporting requirement, but not from the Form 5 requirement.) All SEC filings can be found at www.sec.gov.

Next Quiz:

The underwriters' right to buy up to an additional 15% of shares in a public offering to meet overallotments of subscriptions for the offering is called:

(a) Greenshoe option
(b) Call option
(c) Oversubscription option
(d) Success option

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