What is SEC Form 11-K

SEC Form 11-K is a form filed with the Securities and Exchange Commission (SEC). Used for annual reports, this form deals with employee stock purchases and savings plans with interests in securities registered under the Securities Act of 1933. A Form 11-K is required as a special annual report in addition to other annual reports (e.g., Securities and Exchange Commission Form 10-K) that may be filed by the security issuer. Annual filings are required for companies who issue publicly traded securities. In addition, employee stock purchase plans of publicly traded companies must make their own Securities and Exchange Commission filings. This is to ensure that investors, including company employees, have access to timely, accurate data regarding the issuing company's financials.


SEC Form 11-K is also known as the Annual Reports of Employee Stock Purchase, Savings, and Similar Plans Pursuant to Section 15(d) of the Securities Exchange Act of 1934. The Securities Exchange Act of 1934 set forth requirements for the exchanges and broker-dealers in order to protect the investing public. These requirements include registration, disclosure, proxy solicitations, and margin and audit requirements.

Related filings: Securities and Exchange Commission Form 10-K.