Form 40-F, titled Registration statement pursuant to Section 12 or annual report pursuant to Section 13(a) or 15(d), is a form of the U.S. Securities and Exchange Commission (SEC), and many people search for it simply as 40F. Its title combines two uses: a registration statement under Section 12 and an annual report under Section 13(a) or 15(d). 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 https://www.sec.gov/files/form40-f.pdf.
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What is Form 40-F?
Form 40-F, Registration statement pursuant to Section 12 or annual report pursuant to Section 13(a) or 15(d), is a Securities and Exchange Commission (SEC) form used either as a registration statement under Section 12 or as an annual report under Section 13(a) or 15(d).
The SEC is the federal agency that publishes the form, and its PDF is available at https://www.sec.gov/files/form40-f.pdf. The title names two functions, so the same document can open a registration under Section 12 or serve as the yearly report under Section 13(a) or 15(d). Which one applies to a given filing is a question for the form's own instructions.
The SEC's forms index lists many neighboring forms, and Form 40-F is a separate document from each of them:
- Form 10, the general form for registration of securities pursuant to Section 12(b) or (g).
- Form 10-K, the annual report pursuant to Section 13 or 15(d).
- Form 18, the application for registration pursuant to Section 12(b) & (c).
- Form 18-K, the annual report for foreign governments and political subdivisions thereof.
- Form 15F, the certification of a foreign private issuer's termination of registration of a class of securities under Section 12(g) or of its duty to file reports under Section 13(a) or Section 15(d).
This page covers Form 40-F only.
Who needs to file Form 40-F?
The title of Form 40-F names two groups of users: those filing a registration statement pursuant to Section 12, and those filing an annual report pursuant to Section 13(a) or 15(d). Anyone who falls into one of those two situations and is directed to this form by the SEC's rules uses it.
Eligibility conditions, exclusions and who may sign for a filer are set out in the instructions printed in the official PDF at https://www.sec.gov/files/form40-f.pdf, so read them before you start.
Do not assume that a neighboring SEC form can stand in for it. The SEC lists Form 10 (registration under Section 12(b) or (g)), Form 10-K (annual report pursuant to Section 13 or 15(d)) and Form 18-K (annual report for foreign governments and political subdivisions) as separate forms. A filer who wants to end a registration or a reporting duty is looking for a different document, such as Form 15F.
When to file Form 40-F
The triggering event is the purpose named in the title: you file Form 40-F either to register under Section 12 or to deliver the annual report required under Section 13(a) or 15(d). Which of the two applies decides the timing.
No separate due date is printed in the form's title, so the filing deadline for each use comes from the form's instructions and the SEC's rules. Check the official PDF at https://www.sec.gov/files/form40-f.pdf before you plan the filing.
How to fill out Form 40-F
Open the current SEC form
Use the PDF published by the SEC at https://www.sec.gov/files/form40-f.pdf so you work from the current version of Form 40-F.
Decide which purpose applies
The title offers two uses: a registration statement pursuant to Section 12, or an annual report pursuant to Section 13(a) or 15(d). Confirm which one your filing is before entering anything.
Read the form's instructions
Check the instructions printed in the official PDF for eligibility and for what each item requires, since they govern how the form is completed.
Complete each item in order
Enter the information each item of the form asks for, following the order and wording printed in the PDF.
Compare with neighboring SEC forms
If an item does not fit your situation, check the SEC forms index to confirm you are not looking for Form 10, Form 10-K, Form 18-K or Form 15F instead.
Review and download the completed PDF
Check every entry against your records, then download or print the completed PDF from FillingPDF and file it through the SEC's channels described under How to submit.
How to submit Form 40-F
Form 40-F is filed with the U.S. Securities and Exchange Commission (SEC), not through this page. The SEC publishes the form at https://www.sec.gov/files/form40-f.pdf and lists its forms, with the Submit Filings section, at https://www.sec.gov/submit-filings/forms-index.
Confirm the filing method, any filing requirements and any fee with the SEC and with the instructions in the official PDF before you file. Do not treat a completed PDF as a filed document: it counts only when it is submitted through the channel the SEC specifies.
FillingPDF lets you fill out and download the PDF; submission follows the SEC's channels.
Common mistakes to avoid
- Filling in the form without first deciding whether it is being used as a Section 12 registration statement or as a Section 13(a) or 15(d) annual report, the two uses in its title.
- Treating Form 40-F as interchangeable with Form 10-K or Form 10; the SEC lists them as separate forms with their own titles.
- Using Form 40-F when the goal is to end a registration or a reporting duty, which the SEC's forms index places with a different document, Form 15F.
- Working from a copy of the PDF saved earlier instead of the current version published by the SEC at https://www.sec.gov/files/form40-f.pdf.
- Assuming a completed PDF has been filed; the form is submitted only through the channel the SEC specifies.
Frequently asked questions
What is Form 40-F?
Form 40-F, often searched as 40F, is a U.S. Securities and Exchange Commission (SEC) form titled Registration statement pursuant to Section 12 or annual report pursuant to Section 13(a) or 15(d). It is used either to register under Section 12 or as an annual report under Section 13(a) or 15(d).
Is Form 40-F a registration statement or an annual report?
Its title says both: Form 40-F serves as a registration statement pursuant to Section 12 or as an annual report pursuant to Section 13(a) or 15(d). Which use applies depends on your filing, so check the instructions in the official PDF before completing it.
What is the difference between Form 40-F and Form 10-K?
They are separate SEC forms. The SEC's forms index lists Form 10-K as the annual report pursuant to Section 13 or 15(d), while Form 40-F is titled as either a Section 12 registration statement or an annual report under Section 13(a) or 15(d).
Where can I find the official Form 40-F PDF?
The SEC publishes it at https://www.sec.gov/files/form40-f.pdf. The SEC also keeps a forms index at https://www.sec.gov/submit-filings/forms-index that lists its other forms, such as Form 10, Form 10-K, Form 18-K and Form 15F.
Can I fill out Form 40-F online?
Yes. You can fill out the fillable PDF online on FillingPDF and download or print it. FillingPDF is an independent service, not the SEC, and does not file the form; you submit it only through the channels the SEC specifies.
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