SEC Form 11-K

Written By
Paul Tracy
Updated November 4, 2020

What is SEC Form 11-K?

An SEC Form 11-K is an annual report that is filed with the Securities and Exchange Commission (SEC) for employee stock purchase plans and similar savings plans that constitute securities registered under the Securities Act of 1933.

How Does SEC Form 11-K Work?

A Form 11-K requires the following:

Why Does SEC Form 11-K Matter?

Companies aren't the only organizations that must file annual reports with the SEC. The employee stock purchase plans of those companies have to make public disclosures, too. The objective is to provide shareholders and prospective shareholders with accurate, relevant and timely information about the financial and operating performance of the company's employee stock purchase plan.

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