As a result of amendments adopted by the Securities and Exchange Commission (SEC) on March 20, 2019 (available here, and discussed in our client alert available here), several SEC form cover pages were changed, effective May 2, 2019, including: Form 10-K, Form 10-Q, Form 8-K, Form 20-F, and Form 40-F.
Just prior to the May 2 effective date, the SEC released updated PDFs of these forms on its website (available here). To the surprise of most practitioners, the Form 8-K and Form 10-Q cover pages originally published by the SEC included the newly required information about securities registered pursuant to Section 12(b) of the Exchange Act at or near the bottom of the cover pages, which differed from where the Section 12(b) information has historically been included in the Form 10-K.
In the past day or two, the SEC revised the Form 8-K and Form 10-Q cover pages to bring them into closer alignment with the organization of the Form 10-K cover page. Specifically:
- In the Form 8-K, the table showing the “Title of each class," “Trading Symbol(s)," and “Name of each exchange on which registered" appears immediately after the checkbox for “Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))"; and
- In the Form 10-Q, the table showing the “Title of each class," “Trading Symbol(s)," and “Name of each exchange on which registered" appears immediately after the line “(Former name, former address and former fiscal year, if changed since last report)."
Links to commonly used forms are provided below for your convenience: