INSIGHTS

SEC Forms

DataTracks offers Software Product called DataTracks Rainbow and services to adhere to SEC requirements for a variety of forms including 10K, 10Q, 8K, 20F, 40F, 485BPOS, 497, 497K, S1 (registration statements for Corporate) and N-1A (registration statements for Mutual Funds). The tagging is done using the latest XBRL taxonomy accepted by the SEC for use in XBRL or iXBRL conversion.

10K Annual Report

Annual report pursuant to Section 13 and 15(d). This form is intended to provide the financial condition and the performance of the company for an annual period in a comprehensive manner.

10Q Quarterly Report

Quarterly report pursuant to Section 13 or 15(d). This form is intended to provide the ongoing view of the company’s financial position during the year and it generally contains unaudited financial statements. Form 10Q is normally filed for the first three fiscal quarters of the company’s fiscal year.

S1 General Form

General Form of registration statement for all companies including face-amount certificate companies. Essentially, this is the form that companies (or securities) must file when they apply for an Initial Public Offering (IPO).

8K Current Report Filing

This form is required to announce major events that shareholders should know about. There could be any number of events in a year.

20F Annual & Transition Report

Annual and Transition Report of Foreign Private Issuers pursuant to Sections 13 or 15(d). This form is to be filed by ‘foreign private issuers’ that are listed on the US stock exchange.

40F Annual Reports

Annual Reports filed by certain Canadian issuers pursuant to Section 15(d) and Rule 15d-4. This is essentially Form 20F for Canadian companies.

Mutual Funds Prospectus

N-1A (Initial registration statement for open-end management investment companies), 485BPOS (Post-effective amendment to registration statements), 497 (Definitive materials) and 497 K (Summary Prospectus for certain open-end management investment companies).

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