Form 11-K, often searched as 11k, is the annual report form that the U.S. Securities and Exchange Commission (SEC) publishes for employee stock purchase, savings and similar plans under Section 15(d). The SEC lists it under the Securities Exchange Act of 1934 among its forms for public companies. On this page you can fill out the form online on FillingPDF and download or print the completed PDF. The form itself is published by the SEC at sec.gov.
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What is 11-K?
Form 11-K, Annual reports of employee stock purchase, savings and similar plans pursuant to Section 15(d), is the U.S. Securities and Exchange Commission (SEC) form used for annual reports on employee stock purchase, savings and similar plans under Section 15(d) of the Securities Exchange Act of 1934.
The SEC's forms index lists it as Form 11-K with the SEC form number SEC617, filed under the categories Securities Exchange Act of 1934 and Public Companies. Its title says what it covers: the annual report of a plan, not of the company as a whole.
The index places it next to other periodic-report forms, and the neighbours are different documents:
- Form 10-K, Annual report pursuant to Section 13 or 15(d).
- Form 10-Q, General form for quarterly reports under Section 13 or 15(d).
- Form 1-K, Annual Reports and Special Financial Reports, which the SEC files under the Securities Act of 1933 and Small Businesses.
Form 11-K is the one named for employee stock purchase, savings and similar plans. The SEC publishes the PDF at https://www.sec.gov/files/form11-k.pdf.
Who needs to file 11-K?
Form 11-K is the SEC form for annual reports of employee stock purchase, savings and similar plans pursuant to Section 15(d) of the Securities Exchange Act of 1934. The SEC's forms index lists it in the Public Companies category, so it belongs to the reporting forms used by companies whose securities are subject to that Act.
Use it when the plan you are reporting on is an employee stock purchase, savings or similar plan, as the form's title describes. For the annual report of the company itself, the SEC index lists a different document, Form 10-K. For annual reports under Regulation A-type offerings, the index lists Form 1-K, which is not this form.
The SEC listing does not say who must sign or who may file on a plan's behalf. Read the instructions printed on the form at the SEC link before you rely on this page to decide whether a particular plan must file.
When to file 11-K
Form 11-K is an annual report, as its title says, so it follows a yearly reporting cycle under Section 15(d) of the Securities Exchange Act of 1934. The SEC's forms index gives no due date for it. For the filing deadline, any extension rules and the period the report must cover, read the instructions on the form at https://www.sec.gov/files/form11-k.pdf or contact the SEC.
How to fill out 11-K
Open the SEC's Form 11-K PDF
Start from the form published by the SEC at https://www.sec.gov/files/form11-k.pdf, the SEC form listed as 11-K (SEC617).
Confirm the plan fits this form
Form 11-K is for annual reports of employee stock purchase, savings and similar plans pursuant to Section 15(d). If you need the company's own annual report, the SEC lists Form 10-K instead.
Read the instructions on the form
Review the instructions printed on the form for the period covered, the items required and any attachments before you enter anything.
Complete each item of the form
Fill in the items in the order the form presents them, using the plan's records, and enter N/A only where the form's own instructions allow it.
Review the entries
Check names, dates and figures against the plan's records and make sure every required item is complete.
Download the completed PDF
Download or print the completed PDF from FillingPDF, then file it through the SEC's channels.
How to submit 11-K
The SEC's forms index points to the PDF at https://www.sec.gov/files/form11-k.pdf and names no mailing address, portal or other filing channel for Form 11-K. Check the instructions on the form and the SEC's website at sec.gov for how to file it and for any fee. FillingPDF lets you fill out and download the PDF; submission follows the SEC's channels.
Common mistakes to avoid
- Filing Form 11-K as the company's own annual report; the SEC index lists Form 10-K for the annual report pursuant to Section 13 or 15(d).
- Confusing Form 11-K with Form 1-K, which the SEC lists as Annual Reports and Special Financial Reports under the Securities Act of 1933 and Small Businesses.
- Using Form 11-K for something other than an employee stock purchase, savings or similar plan, the plans named in the form's title.
- Assuming a due date without checking the instructions on the form; the SEC forms index gives none for Form 11-K.
- Treating a quarterly or periodic report as satisfied by Form 11-K; the SEC lists quarterly reports on Form 10-Q.
Frequently asked questions
What is Form 11-K?
Form 11-K is the SEC form titled Annual reports of employee stock purchase, savings and similar plans pursuant to Section 15(d). The SEC lists it under the Securities Exchange Act of 1934 and Public Companies, with SEC form number SEC617.
What is the difference between Form 11-K and Form 10-K?
Form 10-K is the SEC's annual report pursuant to Section 13 or 15(d), while Form 11-K is the annual report for employee stock purchase, savings and similar plans pursuant to Section 15(d). They are separate forms in the SEC index.
Who uses Form 11-K?
It is used for annual reports on employee stock purchase, savings and similar plans under Section 15(d) of the Securities Exchange Act of 1934, and the SEC lists it among its public company forms. Check the form's instructions to confirm a particular plan must file.
Can I fill out Form 11-K online?
Yes. You can fill out the 11k PDF online on FillingPDF and download or print it. FillingPDF is an independent service and does not file the form with the SEC; you file it through the SEC's channels.
When is Form 11-K due?
The SEC's forms index gives no due date. The form is an annual report, so check the instructions on the form at sec.gov, or contact the SEC, for the deadline and any extension rules.
Where can I find the official Form 11-K PDF?
The SEC publishes it at https://www.sec.gov/files/form11-k.pdf, and lists it in its forms index at https://www.sec.gov/submit-filings/forms-index as 11-K, SEC617.
Is Form 11-K the same as Form 1-K?
No. The SEC lists Form 1-K as Annual Reports and Special Financial Reports under the Securities Act of 1933 and Small Businesses. Form 11-K is the Section 15(d) annual report for employee stock purchase, savings and similar plans.
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