SEC announcements that must be understood when learning about U.S. stocks

There are generally 18 commonly used SEC announcements for U.S. stocks. Below is an introduction to these frequently encountered filings: 1. S-1 / S-1/A The registration statement (prospectus) for U.S.-based companies, containing all materials required for an initial public offering (IPO), including financial information, potential future dividend policies, competitors, market position, profitability, and more. S-1/A is a supplementary filing to the S-1—'A' stands for 'Amendment'—used to update or correct information omitted from the original S-1. 2. Form 6-K This is the filing most frequently encountered by investors in Chinese概念股 (Chinese concept stocks). It serves as the vehicle through which such foreign private issuers transmit their quarterly and annual financial reports. 3. Form 10-K The annual report—a comprehensive overview of the company and its performance for the prior fiscal year—also known as the 'official annual report.' Key contents include: business overview, management’s discussion and analysis (MD&A), audited financial statements, details of outstanding debt, number of issued common shares, warrant data, and more. 4. Form 10-Q The quarterly report (‘Q’ stands for 'Quarter'). Includes updated figures on common shares outstanding, warrants outstanding, and financial information. Both Forms 10-K and 10-Q are essential filings for anyone investing in U.S. stocks. 5. Form 8-K The 'current report'—a filing required whenever a publicly traded company experiences a material event. Examples include earnings announcements, tender offers, completed acquisitions, capital market transactions, etc. Once such an event occurs, the company must promptly file Form 8-K to disclose the information, as mandated by U.S. securities law. U.S.-based issuers may also use Form 8-K to release earnings results. Financial data disclosed via Form 8-K typically appears earlier than in the 10-Q—similar to China’s A-share 'preliminary earnings announcements'—but such data is unaudited. 6. Proxy Statement A document provided by the issuer to shareholders ahead of the annual general meeting, outlining major matters on which shareholder votes are sought. 7. Schedule 13G / 13G/A A beneficial ownership reporting form applicable to shareholders holding ≥5% of a company’s equity. When an individual or institution acquires, increases, or decreases its stake in a public company, it must file this form to disclose the change publicly. Schedule 13G is generally filed when an investor or institution first crosses the 5% ownership threshold, triggering the disclosure requirement. The filing must include: percentage and number of shares held, market value of the stake, voting rights, etc. Schedule 13G/A is a supplemental amendment filed after the initial 13G, to report subsequent increases or decreases in the reported ownership. 8. Form 13F A mandatory quarterly filing for institutional investment managers disclosing their equity holdings. This promotes transparency and protects the interests of retail investors. However, under certain legal provisions, institutions may apply to the SEC for confidential treatment of portions of their holdings—to prevent copycat or 'herd-following' behavior. 9. Form 424B3 Required when a company issues securities or security-related products. It provides detailed information about the securities to help investors fully understand their nature and make informed investment decisions.

Various types of information disclosed by U.S.-listed companies

The U.S. Securities and Exchange Commission (SEC) requires publicly listed companies to disclose various types of information using standardized forms—commonly referred to as 'Forms.' Among the most important are: 1. Form S-1 (registration statement/prospectus for U.S.-based companies) or Form F-1 (for foreign private issuers whose principal place of business is outside the U.S.) 2. Form 10-K (annual report for U.S. domestic issuers) or Form 20-F (annual report for foreign private issuers) 3. Form 10-Q (quarterly report) 4. Form 8-K (report of unscheduled material events or corporate changes) 5. Form 6-K (report of specified financial and other information by foreign private issuers) 6. Schedule 13G (disclosure of beneficial ownership by shareholders holding ≥5% of a class of equity securities) Foreign private issuers are exempt from filing Form 10-Q; instead, they typically use Form 6-K to disclose quarterly financial information.

SenesTech Inc Files Form 8K on October 22

Oct 22, 2026

SenesTech Inc filed a Form 8K on October 22, 2026, resulting in a 6.53% stock price increase. The filing is considered a significant corporate event for the biotechnology firm.

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