SEC Form 11-KT

DEFINITION of 'SEC Form 11-KT'

A form filed with the Securities and Exchange Commission (SEC) that a company submits in lieu of, or in addition to, a standard 11-K report when a company changes its fiscal year-end. The SEC Form 11-K is a special report for employee stock purchase, savings, and similar plans. The form is required in addition to the 10-KT, which provides a comprehensive overview of the company's business activities.

BREAKING DOWN 'SEC Form 11-KT'

The requirement to file a transitional 11-K report is covered by Rules 13a-10 and 15d-10 of the Securities Exchange Act of 1934.

Related forms include the 10-KT and the 11-K.

RELATED TERMS
  1. SEC Form 11-K

    A form filed with the Securities and Exchange Commission (SEC). ...
  2. SEC Form NT 11-K

    A filing with the Securities and Exchange Commission (SEC) that ...
  3. SEC Form 10-KT

    A filing with the Securities and Exchange Commission (SEC) that ...
  4. SEC Form 10

    A filing with the Securities and Exchange Commission (SEC), also ...
  5. SEC Form 12b-25

    A filing with the Securities and Exchange Commission (SEC), also ...
  6. SEC Form S-2

    A form from the Securities and Exchange Commission (SEC) that ...
Related Articles
  1. Popular Resources for Equity Research and Analysis: Chapter 2: The SEC Website

    Second to the company investor relations sites is the direct SEC website at www.sec.gov. Investors can learn quite a bit about the securities industry from the SEC. The forms page, which details ...
  2. Investing Basics

    How A Company Files With The SEC

    Filing with the SEC is not as complicated as you might thing -- just be meticulous about following the steps.
  3. Investing Basics

    SEC Filings: Forms You Need To Know

    The forms companies are required to file provide a clear view of their histories and progress.
  4. Budgeting

    8. SEC Investigations

    Companies provide distress signals long before they go under. Find out how to read them.
  5. Professionals

    Introduction

    The forms companies are required to file provide a clear view of their histories and progress.
  6. Professionals

    Reading the SEC Forms

    The forms companies are required to file provide a clear view of their histories and progress.
  7. Economics

    Understanding the SEC

    The SEC's triple mandate of investor protection, maintenance of orderly markets and facilitation of capital formation makes it a vital player in capital markets.
  8. Investing Basics

    Policing The Securities Market: An Overview Of The SEC

    Find out how this regulatory body protects the rights of investors.
  9. Investing

    What's the SEC?

    The Securities and Exchange Commission (SEC) is an independent agency of the United States government. The mission of the SEC is to enforce securities laws passed by congress. These laws aim ...
  10. Professionals

    Forms 3, 4 and 5

    These forms show the changes in ownership and purchases by the company's directors.
RELATED FAQS
  1. When must a company announce earnings?

    The Securities & Exchange Commission (SEC) requires companies to file earnings reports no later than 45 days after the ... Read Answer >>
  2. How do I know if I am buying unregistered securities or stocks?

    All securities, including stocks, bonds and notes, must be registered with the Securities and Exchange Commission (SEC) before ... Read Answer >>
  3. What are unregistered securities or stocks?

    Before securities, like stocks, bonds and notes, can be offered for sale to the public, they first must be registered with ... Read Answer >>
  4. How is trading volume regulated by the Securities and Exchange Commission (SEC)?

    Learn about how the SEC uses the trading volume formula as one requirement for an exemption to the ban on the resale of restricted ... Read Answer >>
  5. Where can I find a company's annual report and its SEC filings?

    Thanks to the Internet, finding financial reports is easier than ever. Nowadays, every reputable company has an investor ... Read Answer >>
  6. How does FINRA differ from the SEC?

    With all the financial organizations out there, knowing what they all do can be as complicated as knowing where to invest. ... Read Answer >>
Hot Definitions
  1. Stop-Limit Order

    An order placed with a broker that combines the features of stop order with those of a limit order. A stop-limit order will ...
  2. Keynesian Economics

    An economic theory of total spending in the economy and its effects on output and inflation. Keynesian economics was developed ...
  3. Society for Worldwide Interbank Financial Telecommunications ...

    A member-owned cooperative that provides safe and secure financial transactions for its members. Established in 1973, the ...
  4. Generally Accepted Accounting Principles - GAAP

    The common set of accounting principles, standards and procedures that companies use to compile their financial statements. ...
  5. DuPont Analysis

    A method of performance measurement that was started by the DuPont Corporation in the 1920s. With this method, assets are ...
  6. Call Option

    An agreement that gives an investor the right (but not the obligation) to buy a stock, bond, commodity, or other instrument ...
Trading Center