How To Find Out Who Invested In A Company

The EDGAR database provides gratis public access to corporate information, allowing you to research a public company'southward financial information and operations by reviewing the filings the visitor makes with the SEC. You tin also research information provided by common funds (including money market funds), exchange-traded funds (ETFs), and variable annuities.

Where to brainstorm?

In addition to this link, you lot take ii ways of accessing EDGAR from the SEC.gov dwelling house folio:

To search for a public company, type the visitor's name or ticker symbol in the search bar at the top of the home page.

To search for a mutual fund, ETF, or variable annuity, click on Company Filings nether the search bar at the acme of the dwelling house page to get to the EDGAR search page. On the left side, you lot'll find tools optimized to search for Mutual Funds and Variable Annuities. You lot can utilize the Mutual Funds tool to also search for ETFs. You can search for other types of funds as you would search for public companies.

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Grade Types

EDGAR presents search results in chronological club and identifies the filings by form types, shown in the first column of the search results. For case, the form type for the annual report on Form 10-K filed past domestic public companies is "10-K."

Filings with "/A" appended to the class type code point an amendment. For case, the course type "10-Thou/A" would indicate an amendment to a Class 10-Chiliad filing.

This guide describes where you tin can find sure types of information in mutual filings by public companies, mutual funds, and ETFs. A more comprehensive list of the types of forms filed on EDGAR tin can exist establish at this forms list .

Form Type	Description
x-Grand	Almanac study – Provides audited almanac fiscal statements, a discussion of material risk factors for the company and its business concern, and a management's discussion and assay of the company'south results of operations for the prior fiscal year.
10-Q	Quarterly report – Provides unaudited quarterly financial statements, updates regarding material risks that the company faces, and management'southward word and analysis of the visitor's results of operations for the prior fiscal quarter.
eight-K	Electric current study – Discloses material events or information that the company chooses or is required to make public prior to its next scheduled quarterly or annual written report.

Some companies are currently filing (and soon all companies will accept to file) these disclosure reports with financial information in a structured informationformat referred to as Inline XBRL—a format that allows a third-party programme to read and parse the information. EDGAR incorporates tools that enable users to take advantage of the information. Run across Inline XBRL to acquire more than.

Shareholder Meetings

Public companies, common funds, and ETFs that are subject to SEC proxy rules send proxy statements to their shareholders to solicit their votes at shareholder meetings. Proxy statements describe the matters to be voted on at the meeting and may include compensation and other data about the company'southward or fund's board and executive officers. The proxy statements of domestic public companies, mutual funds, and ETFs subject to SEC proxy rules can exist plant on EDGAR.

Form Blazon	Clarification
PRE 14A	Preliminary proxy statement – A preliminary proxy statement subject to review past the SEC staff.
DEF 14A	Definitive proxy statement – The terminal proxy argument sent to the company's shareholders in connection with the company'southward shareholder coming together.

Executive Compensation

Domestic public companies regularly disclose the compensation of their chief executive officer and other highly paid executives, and depict their executive and board compensation policies.

Form Type	Description
DEF 14A	Definitive proxy statement – Companies subject to the proxy rules volition typically provide detailed compensation disclosure, including a compensation discussion and assay section, in their annual proxy statement.
x-M	Annual study – If the compensation disclosure isn't constitute in the proxy statement or the company has non filed a proxy statement, the annual report on Grade 10-K should include the disclosure.
8-M	Current report – Changes to bounty for certain executive officers requires disclosure under Particular 5.02 of this study. EDGAR search results for reports on Form 8-1000 prove the item numbers included in each study.

Insider Transactions

Corporate insiders—officers, directors, and holders of more than 10 percentage of a class of the company's registered disinterestedness securities—must regularly disclose holdings and transactions in all equity securities of that visitor.

Course Blazon	Description
3	Initial statement of beneficial ownership – An initial argument of holdings in the company's disinterestedness securities.
four	Argument of changes in beneficial buying – Disclosure of transactions in the company'due south disinterestedness securities within two concern days of the transaction.
5	Annual statement of beneficial ownership – Almanac argument of holdings in the company's equity securities.

Benign Buying Interest

Whatever person or group of persons that acquires beneficial ownership of more than 5 percentage of a class of a public company'southward registered voting securities must disclose their holdings. In addition, companies regularly disclose who their significant shareholders are and institutional investment managers, such every bit managers of mutual funds, hedge funds, or pensions, regularly disclose their holdings.

Class Type	Description
SC 13D	Schedule 13D benign ownership report – Filed when a party acquires more than five pct of a form of a company's registered voting securities; also used to disclose any subsequent changes to their holdings.
SC 13G	Schedule 13G beneficial ownership written report– Filed when a political party acquires more than 5 percent of a class of a company'southward registered voting securities every bit a passive investment.
DEF 14A	Definitive proxy argument – Here, companies are required to disclose the amount of equity securities beneficially owned by their directors and officers, and any person or group that beneficially owns more than five percentage of whatever class of the visitor's voting securities.
13F-Hour	Institutional investment manager report– Institutional investment managers disclose their holdings and any changes to them on a quarterly basis.

Business Combinations

Depending on how a merger or acquisition is structured, dissimilar types of filings may be required by the companies involved in the transaction. Common form types filed in connection with a business combination include the following.

Form Type	Description
PREM14A	Preliminary proxy statement relating to a merger or acquisition – A preliminary proxy statement, which remains subject area to review by the SEC staff, filed in connection with a merger or conquering.
DEFM14A	Definitive proxy statement relating to a merger or acquisition – The last proxy statement sent to the company'due south shareholders in connection with a merger or acquisition, which includes a discussion of the terms of and reasons for the transaction.
Due south-4	Registration argument – Filed when the visitor is registering securities to be used as consideration in the merger or conquering. The registration statement oftentimes incorporates any proxy statement being sent to shareholders.
425	Prospectuses and communications – Written disclosures and communications in connection with a business combination where securities are office of the consideration.
SC TO-T/ SC TO-I	Tender offer statement by third party/issuer – Filed past a political party that is offering to buy outstanding shares of a public company from its shareholders. Often, the disclosure document sent to shareholders is filed as an exhibit to the filing.
SC 14D9	Tender offer solicitation/recommendation statements – A filing required to disclose the target company's recommendation on the tender offering.
8-Chiliad	Current written report – Certain data most business combinations may be disclosed in a Form viii-K filing, such equally the initial signing of a merger agreement or, if an acquisition doesn't require shareholder approving, information nearly the company existence acquired.

Public Offerings

In society to register an offer and sale of securities to the public with the SEC, a visitor must file a registration statement. The showtime time a company publicly offers and sells its securities is known equally its initial public offering. A prospectus, which often is a big part of the registration statement, is the document given to investors that discloses data near the company and the offering.

Form Type	Clarification
South-one	Registration statement – Filed to register the offer and auction of securities to the public oftentimes in connection with an initial public offering.
S-3	Curt-form registration argument – An abbreviated registration statement bachelor to certain already-reporting companies to register the offer and sale of securities to the public.
424B[#]	Prospectus – A document disclosing information nearly the visitor and the offering that typically comprises a large part of the registration argument.
UPLOAD	SEC correspondence – The publicly released written correspondence from the SEC staff to the visitor during a review procedure, including a review of a company'south registration argument for its initial public offering.
CORRESP	Correspondence – Publicly released correspondence from the company and its advisers to the SEC staff typically during a review process.

Securities-based Crowdfunding

Crowdfunding is a way to heighten money from small private investments or contributions from a large number of people. Companies that offer and sell securities to the public in reliance on an exemption from registration for securities-based crowdfunding must make filings on EDGAR.

Form Type	Clarification
C	Offering argument – Disclosure by the company making a crowdfunding offer that contains data nigh itself and the offer.
C-U	Progress updates – Disclosure during the offering about the status of meeting the target offering amount (unless the intermediary provides updates on its online platform) and the final amount of securities sold.
C-AR	Almanac report – An annual report past the visitor that includes financial statements.
C-TR	Termination of reporting – If eligible, a filing by the company terminating its obligation to file annual reports.

Regulation A Offering

Regulation A allows eligible companies raising $fifty million or less in a 12-month menstruum to offer securities to the public with more than express disclosure than what is required in a registered securities offering. Companies conducting Regulation A offerings are discipline to Tier 1 or Tier 2 requirements depending on how much capital letter they programme to raise in the offer. Companies conducting Tier one offerings do not have ongoing reporting requirements other than filing a concluding report to disclose the termination or completion of the offering while companies conducting Tier 2 offerings do have ongoing reporting requirements.

Form Type	Description
one-A	Offer statement – This includes the offering circular, the certificate given to investors that provides important disclosures about the visitor and the offering.
ane-Z	Exit report – This details the termination or completion of an offering. Companies conducting Tier two offerings tin can instead disclose this on Form 1-K.
Ongoing Reporting for Tier 2 Companies
i-Thou	Annual study – An annual report by the visitor that includes audited financial statements and a give-and-take of the company's financial results for the year.
1-SA	Semiannual report – This reportincludes unaudited acting financial statements for the starting time half dozen months of the company's fiscal year and a give-and-take of the company'south fiscal results for the flow.
1-U	Current report – Filed to disclose certain events including a fundamental change, bankruptcy, alter in accountant, non-reliance on prior financial statements or audit report, change in command, and divergence of principal officers.

Foreign Individual Issuers

Some public companies that are organized or formed outside of the U.s.a., known under federal securities laws equally strange private issuers, may file reports with the SEC on unlike forms than those that must exist filed past U.Due south. public companies.

Form Type	Description
F-i	Registration argument – Foreign private issuers may elect to register a securities offering with this filing.
20-F	Almanac report or registration statement – This filing includes audited financial statements of the foreign private issuer and a discussion of the company's financial results. A check box on the comprehend page indicates whether the filing is for an annual study or to register a class of securities.
6-One thousand	Report – Filed in connectedness with press releases, communications to security holders, and any disclosures required to be made to security holders by the laws of the company's dwelling house state.

Mutual Funds and ETFs

Mutual funds and ETFs make some of the same or like filings on EDGAR that public companies do. They also file some unlike forms, with some filed merely by coin marketplace funds. Please notation funds may have like names. To help ensure you lot are looking at the correct fund, double check the ticker symbol on the search results page. In addition to finding these filings on EDGAR, you can typically go them from the fund's website or your financial professional.

Form Type	Description
Northward-1A/485	Registration statement (including a prospectus) – The prospectus includes information about a fund such as investment objectives/goals; a fee tabular array; investment strategies and risks, and operation; advisers and portfolio managers; purchase and sale of fund shares; and taxation information.
497K	Summary prospectus – Summary disclosure certificate includes the aforementioned central information required in the beginning of the full prospectus.
497	Periodic update to fund prospectus – Includes periodic updates to the prospectus.
N-CSR/ Northward-CSRS	Almanac/semi-annual shareholder reports– Describes how the fund has operated and includes the fund'due south holdings and financial statements. The annual report also discusses market conditions and investment strategies that significantly affected the fund's performance during its terminal fiscal year.
DEF 14A	Definitive proxy statement – Proxy argument sent in connexion with matters to be voted on by fund shareholders at the fund's shareholder coming together.
N-PX	Proxy voting record – Identifies specific proposals that the fund was entitled to vote on for its underlying portfolio holdings and how the fund voted on each.
N-PORT	Schedule of portfolio holdings in exhibit to N-PORT– Includes a list of the fund's portfolio holdings for the offset and third fiscal quarters, those not reported on Form Northward-CSR.
N-14	Registration statement for fund mergers – Disclosure document includes information about a fund merger or other similar transaction.

Variable Annuities

Variable Annuities brand some of the aforementioned or like filings on EDGAR that mutual funds and ETFs do. For the best results, search by the marketing proper noun of the variable annuity contract. Please note that insurance companies and their contracts may take similar names. To help ensure yous are looking at the correct variable annuity, double check the name of the contract and the name of the insurance visitor. In add-on to finding these filings on EDGAR, you can typically go them from the insurance company'southward website or your fiscal professional.

Form Type	Description
North-4/485	Registration statement (including a prospectus) – The prospectus includes information near a variable annuity such as its fees, investment options, and insurance features, like death benefits or income protection.
497	Periodic update to variable annuity prospectus – Includes periodic updates to the prospectus.

Exhibits

Exhibits are often required in filings and can include fabric agreements, organizational documents such as company bylaws, financial statements and presentations.

A listing of exhibits tin can be found near the end of the filing in the showroom index, and public companies are now required to include a hyperlink to each exhibit listed. An exhibit may be filed at the same time as the filing or it may have been previously filed. If it was filed with a prior version of the filing, there often is a notation indicating that the showroom was previously filed. If it was filed with a different filing altogether, the exhibit index ofttimes notes the exhibit as being incorporated by reference. The following table illustrates a sample exhibit index.

Form Type	Description
3.1	Document of Incorporation of the Company (incorporated by reference to Exhibit three.1 of the Visitor'due south registration statement on Class S-1 filed Jan 2, 2012) – This showroom can exist found in the prior filing referenced.
3.two	Amended and Restated Bylaws* – As indicated past the notation, this exhibit was filed in an before filed version of the current filing.
10.1	Loan Understanding between the Company and Large Bank, dated January 30, 2018 – This exhibit was filed with the current filing.