The SEC rules identify compliance deadlines for all public companies. If the due date falls on a weekend or SEC holiday, the filing is due on the following business day.
| Forms 10-Q and 10-QSB |
Traditionally due 45 days after company’s fiscal year ends. Some filers will be accelerated filers. During the phase-in period, accelerated 10-Q filings will be due in 40 days. Subsequent 10-Q filings for accelerated filers will be due in 35 days. |
| NT 10-Q |
Due on the business day following the 10-Q due date; provides filers with additional 5 days to submit Form 10-Q |
| Form 10-K and 10-KSB |
Traditionally due 90 days after company’s fiscal year ends. Some filers will be accelerated filers. During the phase-in period, accelerated 10-K filings will be due in 75 days. Subsequent 10-K filings for accelerated filers will be due in 60 days. |
| NT 10-K |
Due on the business day following the 10-K due date; provides filers with additional 15 days to submit Form 10-K. |
| Form 11-K |
Due 180 days after the close of a retirement plan's fiscal year. |
| NT 11-K |
Due on the business day following the 11-K due date; provides filers with additional 15 days to submit Form 11-K. |
| Schedule 13G |
Due 45 days after the end of calendar year by person (or "Group" owning more than 5% of company’s securities). |
| Form 13F |
Due 45 days after the end of each calendar quarter. |
| Section 16 |
Beneficial Ownership Forms (Click on NET.filer for RR Donnelley’s self-service filing option) |
| Form 3 |
Initial statement, which identifies holdings of registrant’s securities owned by directors, officers and 10% shareholders. A Form 3 must be filed within 2 business days after the event.
An insider of an issuer that is registering equity securities for the first time under section 12 of the Exchange Act must file this form no later than the effective date of the registration statement. If the issuer already registered under Section 12, the insider must file within ten days of becoming an officer, director or beneficial owner. |
| Form 4 |
Changes in ownership reporting a sale or acquisition of registrant’s securities. A Form 4 must be reported within two business days. |
| Form 5 |
Annual Section 16 filing filed 45 days after the company’s fiscal year end. |
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