Form 10-K405

Form 10-K405 is an SEC filing to the US 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 insider trading activities within the required time period.

Prior to 2003, 10-K forms submitted to the SEC contained the following qualifier:

Indicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K is not contained herein, and will not be containedto the best of registrant's knowledge in definitive proxy or information statements incorporated by reference in Part III of this Form 10-K or any amendment to this Form 10-K. [X]

If this box is checked on the form, the SEC asks that it be filed as a 10-K405. Otherwise the form is filed as a 10-K. Other than the checkbox, the SEC indicates there is no difference in substance between the two forms. For the years where electronic filing has been required, almost one-third of the filings are registered as a 10-K405. This classification was discontinued after 2002.

According to the Branch of Public Reference at the SEC:

The requirement to designate a Form 10-K as a Form 10-K405 was eliminated after it was determined that the use of the designation by companies was inconsistent and therefore not reliable. The form type is no longer accepted by the EDGAR system.

External links

* [http://www.algostocks.com/services/rss.do?description=10-K405 Live RSS Feed]
* [http://www.sec.gov SEC Homepage]
* [http://www.secfilings.com SECFilings.com]


Wikimedia Foundation. 2010.

Look at other dictionaries:

  • SEC Form 10-K405 — A form used by the Securities and Exchange Commission (SEC) prior to 2003. SEC Form 10 K405 was used to indicate that an officer or director of a company failed to file a Form 4 (or similar Form 3 or Form 5) on time, meaning that they did not… …   Investment dictionary

  • SEC Form 10-KT405 — An obsolete Securities and Exchange Commission (SEC) form that was submitted in lieu of a 10 K405 when a company changed its fiscal year end. SEC Form 10 KT405, and the 10 K405, were used by the SEC prior to 2003. The form was used when a company …   Investment dictionary

  • SEC Form 10-KSB405 — A Securities and Exchange Commission (SEC) form similar to the 10 K405 but for small businesses. Both forms were used by the SEC prior to 2003. It was used when a company did not file a Form 4 (or similar 3 or 5) disclosing their insider trading… …   Investment dictionary

  • 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, or similar form, on time. After submission of the SEC Form NT 10 K, the company must then file its 10 K within 15 days. The… …   Investment dictionary

  • Blue Bird Corporation — Infobox Company company name =Blue Bird Corporation company vector company type =Privately held company genre = foundation = 1927 founder = Albert L Luce location city = Fort Valley, Georgia location country = location = origins = key people =… …   Wikipedia

  • Marvel Entertainment — Marvel Entertainment, LLC Type LLC Subsidiary of The Walt Disney Company Industry Entertainment Predecessor Ma …   Wikipedia

  • RKO General — was the main holding company through 1991 for the noncore businesses of the General Tire and Rubber Company and, after General Tire s reorganization in the 1980s, GenCorp. The business was based around the consolidation of its parent company s… …   Wikipedia

  • Filene's Basement — Infobox Company company name = Filene s Basement company company type = Private company slogan = Where Bargains Were Born foundation = 1908 location = Burlington, Massachusetts key people = Mark Shulman, President; James Rudd, Executive Vice… …   Wikipedia

  • Odwalla — Inc. Type Wholly owned subsidiary Industry Consumer products Founded Santa Cruz, California, United …   Wikipedia

  • Atari Jaguar — Manufacturer Atari Corporation …   Wikipedia


Share the article and excerpts

Direct link
Do a right-click on the link above
and select “Copy Link”

We are using cookies for the best presentation of our site. Continuing to use this site, you agree with this.