A form filed with the Securities and Exchange Commission (SEC) that indicates that an officer or director of a public company failed to file a Form 4 (or related Form 3 or Form 5) on time, in violation of Section 16 - meaning that they did not disclose their trading activities within the required time period.

A registration statement for lenders other than commercial banks and brokers that extend credit secured by registered equity securities (ie. the Federal Reserve Board).

A form filed with the Securities and Exchange Commission to indicate a preliminary insider transaction by an officer, director, or beneficial (10%) owner of the company's securities. These are typically seen after a company IPOs when insiders make their first transactions. After a Form 3 is filed, future filings of the same nature are filed under Form 4 (standard disclosure) or Form 5 (annual disclosure).

A form must be filed with the Securities and Exchange Commission as notice of the proposed sale of restricted securities or securities held by an affiliate of the issuer in reliance on Rule 144 when the amount to be sold during any three month period exceeds 500 shares or units or has an aggregate sales price in excess of $10,000.

A form filed with the Securities and Exchange Commission on an annual basis by company officers, directors, or beneficial (10%) owners, which summarizes their insider trading activities. This form is simply a combination of years Form 4 filings, which are mandatory filings made shortly after insiders make transactions.

Schedule 13G is an alternative SEC filing for the 13D which must be filed by anyone who acquires beneficial ownership in a public company (ie. owns more than 5% of a company). The 13G filing is considered a more passive version of the 13D, and has fewer reporting requirements. Activist practices are not permitted by 13G filers unless they refile a 13D.

The most basic securities registration form. It may only be used by companies that have been required to report under the '34 Act for a minimum of twelve months and have met the timely filing requirements set forth under Form S-2. Also, the offering and issuer must meet the eligibility tests prescribed by the form.

Form F-6 is used to register depository shares represented by American Depositary Receipts (ADRs) issued by a depositary against the deposit of the securities of a foreign issuer. These are essentially shares of a foreign company traded on U.S. exchanges; however, the price/liquidity is not directly tied to the ADRs foreign counterpart due to the fact that they are two separate entities trading on different exchanges.

Form F-4 is used to register securities in connection with business combinations and exchange offers involving foreign private issuers. These activities include mergers & acquisitions, going-private transactions, rights offerings, and other similar deals conducted by foreign entities.

This report is used by certain foreign private issuers to provide information that is:

• Required to be made public in the country of its domicile
• Filed with and made public by a foreign stock exchange on which its securities are traded
• Are distributed to security holders.
  

The report must be furnished promptly after such material is made public. The form is not considered "filed" because of Section 18 (for liability purposes). This is the only information furnished by foreign private issuers between annual reports, since such issuers are not required to file on Forms 10-Q or 8-K.