Section 15(d) - Page 2

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What is Section 15(d)?

Section 15(d) refers to the provision in the Securities Exchange Act of 1934 that requires companies with a certain number of shareholders to file annual reports with the Securities and Exchange Commission (SEC). This section helps to ensure transparency and accountability in the financial reporting of publicly traded companies.

What are the types of Section 15(d)?

There are two main types of Section 15(d) filings: Form 10-K and Form 10-Q. Form 10-K is an annual report that provides a comprehensive overview of the company's financial performance and operations. Form 10-Q is a quarterly report that updates investors on the company's financial status and performance throughout the year.

Form 10-K

Form 10-Q

How to complete Section 15(d)

Completing Section 15(d) filings can be a complex process, but with the right tools and guidance, it can be done efficiently. Here are some steps to help you complete Section 15(d) filings:

01

Gather all necessary financial and operational data for the reporting period.

02

Review and analyze the data to ensure accuracy and compliance with SEC regulations.

03

Prepare the required financial statements and disclosures as per Form 10-K or 10-Q.

04

Submit the completed filing to the SEC within the specified deadlines.

05

Utilize pdfFiller to streamline the document creation, editing, and sharing process, making it easier to complete Section 15(d) filings accurately and on time.

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Video Tutorial How to Fill Out Section 15(d)

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Questions & answers

What is Section 15 D of the Exchange Act?

Section 15(d) provides that any issuer who registers a class of securities under the Securities Act of 1933, as amended (the Securities Act) shall become subject to periodic reporting requirements under Section 13(a) (15 USCS § 78m) of the Exchange Act, including annual reports on Form 10-K, quarterly reports on Form ...

What is a Section 15 D filer?

Section 15(d) requires companies to file certain periodic reports and information required by Section 13 of the Exchange Act (such as Form 10-K and Form 10-Q reports) as if they had securities registered under Section 12 of the Exchange Act.

What is Section 13 or 15 D of the Exchange Act?

Also known as US reporting company or US public company. A company subject to Section 13 or 15(d) of the US Securities Exchange Act of 1934 (Exchange Act), which requires the company to file periodic reports with the US Securities and Exchange Commission (SEC).

What is a 15 D?

The 15D is a generic, comprehensive, 15-dimensional, standardized, self-administered measure of health-related quality of life (HRQoL) that can be used both as a profile and single index score measure.

How do I file Form D with SEC?

To file a Form D, visit the SEC's Online Forms Login page and log in using the company's CIK number and EDGAR access codes. Once logged in, choose “Form D” under “Make a Filing” in the top left corner.

What is a form 15D?

SEC Form 15-15D is a certification of termination of registration of a class of security under Section 12(g) or a notice of suspension of duty to file reports pursuant to Section 13 and 15(d) of the 1934 Securities Exchange Act. 1

Where can I find SEC forms?

Yes, SEC filings are public information and can be retrieved for free via the EDGAR system online. Companies may also host their own copies on their corporate websites and would be available from their investor relations department.

How can I file Form D online?

To file a Form D, visit the SEC's Online Forms Login page and log in using the company's CIK number and EDGAR access codes. Once logged in, choose “Form D” under “Make a Filing” in the top left corner.