Form 10-Q, the general form for quarterly reports under Section 13 or 15(d), is a form of the U.S. Securities and Exchange Commission (SEC) that many people search for as 10Q. The SEC lists it in its forms index under the Securities Exchange Act of 1934 and the Public Companies category, with the SEC identifier SEC1296. On FillingPDF you can fill out the form online and download or print the completed PDF; the official PDF is published by the SEC at sec.gov.
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What is 10-Q?
Form 10-Q, General form for quarterly reports under Section 13 or 15(d), is the U.S. Securities and Exchange Commission (SEC) form that public companies use for their quarterly reports under the Securities Exchange Act of 1934.
The SEC's forms index lists Form 10-Q with the SEC identifier SEC1296 and files it under two categories: Securities Exchange Act of 1934 and Public Companies. The title ties the form to reports required under Section 13 or Section 15(d) of that Act.
The same index lists neighboring SEC forms that serve different purposes, which is how Form 10-Q differs from them:
- Form 10-K, Annual report pursuant to Section 13 or 15(d), is the annual counterpart of this quarterly report.
- Form 10-D, Asset-Backed Issuer Distribution Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934.
- Form 11-K, Annual reports of employee stock purchase, savings and similar plans pursuant to Section 15(d).
- Form 12b-25, Notification of late filing.
- Form 10, General form for registration of securities pursuant to Section 12(b) or (g).
- Form 15, Certification and notice of termination of registration under Section 12(g) or suspension of duty to file reports under Sections 13 and 15(d).
The line-by-line content, the items to report and the instructions are printed in the SEC's PDF, which the agency publishes at https://www.sec.gov/files/form10-q.pdf.
Who needs to file 10-Q?
Form 10-Q is placed by the SEC in its Public Companies category, and its title ties it to quarterly reports under Section 13 or 15(d) of the Securities Exchange Act of 1934. The people who work with it are therefore the companies that report under those sections, and the officers, accountants and attorneys who prepare those reports for them.
It is not the form for other SEC filings that the forms index lists separately:
- Annual reports under Section 13 or 15(d) use Form 10-K.
- Distribution reports of asset-backed issuers use Form 10-D.
- Annual reports of employee stock purchase, savings and similar plans under Section 15(d) use Form 11-K.
- Registration of securities under Section 12(b) or (g) uses Form 10.
- Ending registration or the duty to file reports under Sections 13 and 15(d) uses Form 15.
The forms index does not set out detailed eligibility rules or signature requirements for Form 10-Q. Those conditions, if any, are in the SEC's form and its instructions at the official URL.
When to file 10-Q
Form 10-Q is a quarterly report under Section 13 or 15(d), so it belongs to quarterly reporting periods, not to a single annual filing; the annual report is Form 10-K. The SEC's forms index sets no due date for Form 10-Q itself, so the timing rules are those the SEC publishes with the form and its instructions.
The same index lists two related forms with their own triggering events: Form 12b-25, Notification of late filing, and Form 15, the certification and notice of termination of registration under Section 12(g) or suspension of duty to file reports under Sections 13 and 15(d). Check the SEC's materials to see whether either applies to your situation.
How to fill out 10-Q
Confirm Form 10-Q is the right form
Check that you need the general form for quarterly reports under Section 13 or 15(d), not the annual report (Form 10-K) or another form in the SEC's forms index.
Open the form online
Open the Form 10-Q PDF on FillingPDF. The SEC publishes the official version at https://www.sec.gov/files/form10-q.pdf, and its forms index identifies the form as SEC1296.
Read the form's own instructions
Review the instructions and headings printed on the PDF before you enter anything, because the SEC's form text sets what each item requires.
Complete each item in order
Enter your information in the fields in the order the form presents them, following the format the form prints for each item.
Check the entries against your records
Compare each entry with your supporting records and confirm that nothing the form asks for is left blank without reason.
Review and download the completed PDF
Check every entry, then download or print the completed PDF from FillingPDF and submit it through the SEC's channels described under How to submit.
How to submit 10-Q
The SEC's forms index, which is part of its Submit Filings pages, lists Form 10-Q but gives no mailing address, portal or appointment rule for it. Use the filing channels the SEC publishes, starting from the SEC forms index. The official PDF of the form is at https://www.sec.gov/files/form10-q.pdf. FillingPDF lets you fill out and download the PDF; submission follows the SEC's channels.
Common mistakes to avoid
- Using Form 10-Q for the annual report under Section 13 or 15(d); the SEC's forms index lists that as Form 10-K.
- Using Form 10-Q as a registration form; the index lists the general form for registration under Section 12(b) or (g) as Form 10.
- Using Form 10-Q for a distribution report of an asset-backed issuer, which the index lists as Form 10-D.
- Using Form 10-Q for annual reports of employee stock purchase, savings and similar plans under Section 15(d), which the index lists as Form 11-K.
- Treating Form 10-Q as the notice of a late filing; the index lists Form 12b-25, Notification of late filing, as a separate form.
- Using Form 10-Q to end the duty to file reports; the index lists Form 15 for the notice of termination or suspension under Sections 13 and 15(d).
Frequently asked questions
What is a 10Q filing?
A 10Q filing is a report made on SEC Form 10-Q, the General form for quarterly reports under Section 13 or 15(d). The SEC lists it in its forms index under the Securities Exchange Act of 1934 and the Public Companies category.
What is the difference between Form 10-Q and Form 10-K?
Form 10-Q is the general form for quarterly reports under Section 13 or 15(d). Form 10-K is listed by the SEC as the Annual report pursuant to Section 13 or 15(d). One covers quarterly reports, the other the annual report.
Who files Form 10-Q?
The SEC places Form 10-Q in its Public Companies category, and its title ties it to quarterly reports under Section 13 or 15(d). Detailed eligibility conditions are in the SEC's form and instructions at https://www.sec.gov/files/form10-q.pdf.
What does SEC1296 mean on Form 10-Q?
SEC1296 is the identifier the SEC's forms index shows next to Form 10-Q. It is not a different form: it is how the agency labels the General form for quarterly reports under Section 13 or 15(d) in its list.
Which form is used for notice of a late filing?
The SEC's forms index lists Form 12b-25, Notification of late filing, as a separate form. Check the SEC's materials to see whether it applies to your situation, because Form 10-Q itself does not serve as a late notice.
Can I fill out Form 10-Q online?
Yes. You can fill out the Form 10-Q PDF online on FillingPDF and download or print it. FillingPDF is an independent service and does not file anything with the SEC; you submit the form through the SEC's channels.
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