sec-filing-typeslisted

# SEC Filing Types A reference and decision guide for interpreting SEC forms in the context of small-cap and quant research. Most quant code mishandles forms because it treats "a filing exists" as the signal — the form TYPE and SPECIFIC ITEM are the signal. ## Core principle **A form's name tells you the company's PERMISSION to do something. The specific item or supplement tells you whether they ACTED on it.** - An effective `S-3` means a company *can* sell shares from the shelf. It does NOT mean they did. - An `S-3` plus a recent `424B5` plus a 10-Q reference to "at-the-market offering" means they ARE selling. That is the dilution signal. - An `8-K` is a sealed envelope until you read its specific items. Item 1.01 is benign or terrifying depending on the agreement. Always inspect the SPECIFIC item / supplement / amendment, never the form name alone. ## Form reference (focused on small-cap dilution context) ### Registration and offerings (the dilution machinery) | Form | What it means | Dilution implication | |------|---------------|----------------------| | **S-1** / S-1/A | IPO registration / amendment | New issuer; lockups in effect | | **S-3** | Shelf registration (US issuer) | Permission, not action. Effective shelf = capacity to sell | | **S-3ASR** | Automatic shelf (large issuers) | Same as S-3 but no SEC review delay | | **S-8** | Employee plan registration | Adds shares to float as RSUs/options vest | | **F-1** / F-3 | Foreign issuer equivalents of S-1