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RESOURCES
Sec Filing Dates and Holidays |
Date | Day of the Week | Holiday or Form Due |
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These are the filing due dates for the vast majority of investment company filers that have a
fiscal year-end of December 31. If a filing due-date falls on a weekend or holiday, the filing
is due on the next business day Holidays are marked on this form because no SEC filings are accepted on these dates. |
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| December 31, 1969 | Wed | NT 10-K |
| December 31, 1969 | Wed | Late 10-K |
| December 31, 1969 | Wed | NT 11-K |
| December 31, 1969 | Wed | Late 10-K |
| December 25, 2005 | Sun | Christmas * |
| January 01, 2006 | Sun | New Years' Day |
| January 16, 2006 | Mon | Martin Luther King Jr. Day |
| February 14, 2006 | Tue | Schedule 13G |
| February 20, 2006 | Mon | Presidents' Day |
| March 31, 2006 | Fri | 10-K |
| March 31, 2006 | Fri | 10KSB |
| March 31, 2006 | Fri | 11-K |
| May 10, 2006 | Wed | 10-Q |
| May 15, 2006 | Mon | 10-Q |
| May 15, 2006 | Mon | 10QSB |
| May 29, 2006 | Mon | Memorial Day |
| May 30, 2006 | Tue | 20-F |
| July 04, 2006 | Tue | Independence Day * |
| August 14, 2006 | Mon | 10QSB |
| August 14, 2006 | Mon | 10-Q |
| August 16, 2006 | Wed | NT 10-Q |
| August 16, 2006 | Wed | NT 10-Q |
| August 16, 2006 | Wed | NT 10-Q |
| September 04, 2006 | Mon | Labor Day |
| October 09, 2006 | Mon | Columbus Day |
| November 11, 2006 | Sat | Veterans Day |
| November 14, 2006 | Tue | 10QSB |
| November 14, 2006 | Tue | Late 10-Q |
| November 16, 2006 | Thu | Late 10-Q |
| November 16, 2006 | Thu | Late 10-Q |
| November 23, 2006 | Thu | Thanksgiving |
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* Since these holidays fall on Saturday or Sunday we have noted the date for federal workers to have the day off.
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Due Date Rules Below are the SEC rules used to identify domestic and foreign compliance deadlines for all companies. Please note that if the due date falls on a weekend or holiday, the filing is due on the next business day. | Form Name | Form Rules |
| Form 10-K | Due 90 days following the end of the fiscal year. | |
| NT 10-K | Due on the business day after the 10-K due date. | |
| Late 10-K | After filing an NT 10-K, the deadline for the 10-K is extended 15 calendar days from the actual due date. | |
| Proxy Statement or 10-K/A |
Proxy due dates can differ greatly, though most are filed in the spring. If your Form 10-K incorporates by reference information into Part III from the proxy statement, you must file the proxy statement no later than 120 days after the fiscal-year end. If you cannot file the proxy statement within that 120-day period, you can file an amended 10-K to include the Part III information; however, that amended 10-K must be filed no later than 120 days after the fiscal-year end. | |
| Form 10-Q | Due 45 days following the end of each fiscal quarter. | |
| NT 10-Q | Due on the business day after the 10-Q due date. | |
| Late 10-Q | After filing an NT 10-Q, the deadline for the 10-Q is extended five calendar days from the actual due date. | |
| Form 11-K | Due 180 days after the end of the retirement plan year. May file in paper or EDGAR. | |
| NT 11-K | Due on the business day after the 11-K due date. | |
| Late 11-K | After filing an NT 11-K, the deadline for the 11-K is extended 15 calendar days from the actual due date. | |
| Schedule 13-G | Due 45 days following the end of the calendar year. | |
| Ownership Reports | ||
| Form 3 | Due 10 days after the event by which the individual becomes a reporting registrant. Must file in EDGAR. | |
| Form 4 | Due by the end of the second day after the transaction. Must file in EDGAR. If transaction handled by third party who exercises the option on behalf of the filer, the third party has three days to notify the filer of the transaction. The filer then must file by the end of the second day after notification. | |
| Form 5 | Due 45 days after the end of the issuer's/subject company's fiscal year. Must file in EDGAR. | |
| Foreign Forms | ||
| Form 20-F | Due six months following the end of the fiscal year. | |