The 10K, formally Form 10-K, Annual report pursuant to Section 13 or 15(d), is a form of the U.S. Securities and Exchange Commission (SEC), which lists it under the Securities Exchange Act of 1934 and Public Companies. It is the annual report form, as opposed to the quarterly report on Form 10-Q. On this page you can fill out the form online on FillingPDF and download or print the completed PDF; the original PDF is published by the SEC at sec.gov.
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What is Form 10-K?
Form 10-K, Annual report pursuant to Section 13 or 15(d), is the U.S. Securities and Exchange Commission (SEC) form for the annual report that public companies prepare under the Securities Exchange Act of 1934.
The SEC's forms index lists it as Form 10-K, with the SEC form number SEC1673, under the categories Form 10-K, Securities Exchange Act of 1934 and Public Companies. The SEC is the federal agency that publishes the form.
The index places Form 10-K next to several neighboring reports, and the title tells them apart:
- Form 10-Q is the general form for quarterly reports under Section 13 or 15(d); Form 10-K is the annual report under the same sections.
- Form 10-D is the Asset-Backed Issuer Distribution Report.
- Form 11-K covers annual reports of employee stock purchase, savings and similar plans under Section 15(d).
- Form 18-K is the annual report for foreign governments and their political subdivisions.
- Form 1-K covers annual reports and special financial reports under Regulation A.
- Form 10 is the general form for registration of securities under Section 12(b) or (g), not a periodic report.
The SEC also lists Form 12b-25, Notification of late filing, among its forms for public companies.
Who needs to file Form 10-K?
The SEC places Form 10-K with its Public Companies forms under the Securities Exchange Act of 1934, and its title ties the annual report to Section 13 or 15(d) of that Act. Companies that report under those sections are the audience for this form. The forms index sets out no eligibility test, so the SEC's instructions for the form are the place to confirm whether a particular company must file it.
Other annual reports use other forms, according to the SEC's forms index:
- Employee stock purchase, savings and similar plans reporting under Section 15(d) use Form 11-K.
- Foreign governments and their political subdivisions use Form 18-K.
- Issuers reporting under Regulation A use Form 1-K for annual reports and special financial reports.
- Asset-backed issuers' distribution reports use Form 10-D.
A company that is only registering securities under Section 12(b) or (g) uses Form 10, the general form for registration, rather than Form 10-K. The index does not say who may sign or file for a company, so refer to the SEC's instructions for that question.
How to fill out Form 10-K
Confirm Form 10-K is the right form
Check that you need the annual report pursuant to Section 13 or 15(d), and not Form 10-Q, 11-K, 18-K, 1-K or 10-D, which the SEC lists for other reports.
Open the fillable PDF
Open the form on FillingPDF. It is the SEC's Form 10-K, published at https://www.sec.gov/files/form10-k.pdf.
Enter the company details
Complete the identifying entries the form asks for at the start, using the company's information exactly as it appears in your records.
Work through the form's items in order
Follow the form's own item headings and the SEC's instructions, entering each answer in the matching field. Mark any item that does not apply as the form directs.
Check related SEC forms
If your company cannot meet its reporting timing, the SEC lists Form 12b-25, Notification of late filing, among its public company forms; check its instructions to see whether it applies.
Review and download the completed PDF
Read every entry against your records, then download or print the completed PDF from FillingPDF and keep a copy for your files.
Common mistakes to avoid
- Using Form 10-K for the annual report of an employee stock purchase, savings or similar plan; the SEC lists Form 11-K for those plans under Section 15(d).
- Using Form 10-K for the annual report of a foreign government or its political subdivision; the SEC lists Form 18-K for that purpose.
- Using Form 10-K for a Regulation A annual report; the SEC lists Form 1-K for annual reports and special financial reports under Regulation A.
- Mixing up Form 10-K with Form 10-Q: the 10-Q is the general form for quarterly reports, while Form 10-K is the annual report.
- Using Form 10-K to register securities; the SEC lists Form 10 as the general form for registration under Section 12(b) or (g).
- Treating the SEC forms index as the instructions: it names the form and its category only, so complete the form following the SEC's own form text.
Frequently asked questions
What is a 10K?
A 10K is Form 10-K, Annual report pursuant to Section 13 or 15(d), the U.S. Securities and Exchange Commission (SEC) form for the annual report of public companies under the Securities Exchange Act of 1934. The SEC's form number for it is SEC1673.
What is the difference between Form 10-K and Form 10-Q?
Form 10-K is the annual report under Section 13 or 15(d). Form 10-Q is the general form for quarterly reports under the same sections. The SEC lists both under the Securities Exchange Act of 1934 for public companies.
Can I fill out Form 10-K online?
Yes. You can fill out the 10-K PDF online on FillingPDF and download or print it. FillingPDF is an independent service, not the SEC, and does not file the report; follow the SEC's own instructions for how a completed form is submitted.
Who files Form 10-K?
The SEC lists Form 10-K among its Public Companies forms under the Securities Exchange Act of 1934. Check the SEC's instructions for the exact test of who must file. Plans, foreign governments and Regulation A issuers use other annual forms.
Which form is used for an employee plan annual report instead of Form 10-K?
The SEC lists Form 11-K for annual reports of employee stock purchase, savings and similar plans pursuant to Section 15(d). Form 10-K is the annual report pursuant to Section 13 or 15(d) for public companies.
Is there a form for notifying the SEC of a late filing?
Yes. The SEC lists Form 12b-25, Notification of late filing, among its forms for public companies. Read its instructions to see whether it applies to your annual report; it is a separate form from Form 10-K.
Where can I find the official Form 10-K PDF?
The SEC publishes it at https://www.sec.gov/files/form10-k.pdf and lists it on its forms index at https://www.sec.gov/submit-filings/forms-index, where it appears as Form 10-K with SEC form number SEC1673.
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