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Meeting all your client's filing deadlines can be difficult to manage. Leverage this inclusive calendar to keep you and your teams on track to deliver results.
SEC DEADLINE GUIDANCE
|10-K||60 days from year-end||75 days from year-end||90 days from year-end|
|NT 10-K||15 day extension||15 day extension||15 day extension|
|10-Q||40 days from quarter-end||40 days from quarter-end||40 days from quarter-end|
|NT 10-Q||5 day extension||5 day extension||5 day extension|
|Friday, January 1||New Year’s Day|
|Monday, January 18||Birthday of Martin Luther King, Jr.|
|Monday, February 15||Washington’s Birthday|
|Monday, May 31||Memorial Day|
|Monday, July 5||Independence Day|
|Monday, September 6||Labor Day|
|Monday, October 11||Columbus Day|
|Thursday, November 11||Veterans Day|
|Thursday, November 25||Thanksgiving Day|
|Friday, December 24||Christmas Day|
FOREIGN PRIVATE ISSUERS
|20-F||Friday, April 30|
|20-F NT||Monday, May 3|
|LATE 20-F||Monday, May 17|
INVESTMENT MANAGER DEADLINES
|13-F||Tuesday, February 16|
|13-F||Monday, May 17|
|13-F||Monday, August 16|
|13-F||Monday, November 15|
*All dates assume a 12/31 fiscal year end. All deadlines and deadline extensions shown in calendar days.
LARGE ACCELERATED FILERS
SECTION 16 BENEFICIAL OWNERSHIP FORMS
Large Accelerated Filer: A reporting company that has a public float of $700 million or more, has been subject to the periodic reporting requirements of the Securities Exchange Act of 1934 (“1934 Act”) for at least 12 months and has filed at least one annual report.
Accelerated Filer: A reporting company that has a public float of $75 million or more but less than $700 million, has been subject to the periodic reporting requirements of the 1934 Act for at least 12 months and has filed at least one annual report.
Non-Accelerated Filer: A reporting company that has no public float or public float of less than $75 million, has not been subject to the periodic reporting requirements of the 1934 Act for more than 12 months or has not filed at least one annual report.
Smaller Reporting Company: A reporting company that has (i) a public float of less than $250 million or (ii) annual revenues of less than $100 million and has no public float or public float of less than $700 million.
Public float is measured at end of second fiscal quarter, with any change in filing status taking effect as of the next fiscal year.
*As of July 15, 2019, the SEC has proposed, but not enacted, amendments to these filing categories that would exclude from their definitions certain filers who also qualify as smaller reporting companies.
Operating Company Financial Statement Information
U.S. GAAP filers have a three-year phase-in to comply with the Inline XBRL requirements as follows, beginning with fiscal periods ending on or after June 15, 2021 for Non-Accelerated and Smaller Reporting Companies.
Domestic form filers are subject to the requirement beginning with their first Form 10-Q filed for a fiscal period ending on or after June 15, 2021, as opposed to the first filing for a fiscal period ending on or after that date.
IFRS filers are required to comply with Inline XBRL beginning with fiscal periods ending on or after June 15, 2021.
Fund Risk/Return Summary Information
Funds have a two-year phase-in to comply with the Inline XBRL requirements as follows, beginning with any initial registration statement (or post-effective amendment that is an annual update to an effective registration statement) that becomes effective on or after September 17, 2021 for small fund groups (with assets of less than $1 billion as of the end of the most recent fiscal year).
The EDGAR system hours of operation for submitting files are 6:00 a.m. to 10:00 p.m. Eastern, weekdays, excluding Federal Holidays. Files submitted after 5:30 p.m. Eastern will receive the next business day’s filing date (with the exception of Section 16 filings). The EDGAR system is not in operation on weekends. If a due date falls on a weekend or SEC holiday, the filing will be due the following business day.
SEC FILING HOURS
Today's Date: 6:00 AM – 5:30 PM ET
Tomorrow's Date: 5:31 PM – 10:00 PM ET
Today's Date: 6:00 AM – 10:00 PM ET for Section 16 (Forms 3, 4, and 5)
Companies may request a filing extension for their Form 10-Qs and 10-Ks by submitting Form 12b-25 via the EDGAR system. By filing this form, a filer may gain up to 5 additional days to file Form 10-Q or 15 days to file Form 10-K. Companies have up to 24 hours after the original filing deadline to file Form 12b-25.
Definition of SEC Form NT 10-Q: A filing with the Securities and Exchange Commission (SEC) that a company must submit when it is unable to file its 10-Q on time. After submission of the SEC Form NT 10-Q, the company must then file its 10-Q within 5 days. The 10-Q is a quarterly report that provides quarterly financial results. Form NT 10-Q is covered under SEC Rule 12b-25 of the Securities Exchange Act. Related filings include 10-Q, 10-QSB, and 10-QT.
Definition of SEC Form NT 10-K: A filing with the Securities and Exchange Commission (SEC) that a company must submit when it is unable to file its 10-K on time. After submission of the SEC Form NT 10-K, the company must then file its 10-K within 15 days. The 10-K is an annual report that provides a comprehensive overview of the company's business activities. Form NT 10-K is covered under SEC Rule 12b-25 of the Securities Exchange Act. Related filings include 10-K405, 10-K, 10-KSB405 and 10-KSB.
|SEC CONTACT INFORMATION|
|Filing Fees Branch||Option # 1|
|EDGAR Technical Support||Option # 3||FilerTechUnit@sec.gov|
|EDGAR Filer Support for Corporation Finance||Option # 4|
|Division of Investment Management||Option # 5|
|Office of Structured Disclosure (OSD)||202-551-5494||StructuredData@sec.gov|
|SEC Mailing Address||SEC Headquarters
100 F Street, NE
Washington, DC 20549
|NOTE: Actual paper filings should be submittedto the SEC Headquarters address,
not to the Operations Center.
|SEC Hours of Operation for Filer Support||9:00 a.m. to 5:30 p.m. Eastern Time weekdays, excluding federal holidays|
To apply for EDGAR access codes (CIK and CCC), visit www.filermanagement.edgarfiling.sec.gov.