FAQ About SEC Form 8-K – Florida Security and Investment Litigation and Arbitration Attorney

Russell L. Forkey

Securities and Exchange Commission – Form 8-K.

There are a number of forms that companies are required to file with the Securities and Exchange Commission such as Forms 10-K, 10-Q and 8-K.  Copies of these documents can be found on the SEC’s Edgar Website.  It is suggested, if the reader is contemplating purchasing, holding of selling an SEC reporting company, that you go to the SEC Edgar Website to see what type of public information is available for consideration.  This is true whether the reader is making his or her own investment decision or is contemplating the recommendation of an investment advisor.

As indicated above one of these forms is the Form 8-K.  This form is used by companies to file current reports on the following events:

1.01Entry into a Material Definitive Agreement
1.02Termination of a Material Definitive Agreement
1.03Bankruptcy or Receivership
2.01Completion of Acquisition or Disposition of Assets
2.02Results of Operations and Financial Condition
2.03Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant
2.04Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement
2.05Cost Associated with Exit or Disposal Activities
2.06Material Impairments
3.01Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing
3.02Unregistered Sales of Equity Securities
3.03Material Modifications to Rights of Security Holders
4.01Changes in Registrant’s Certifying Accountant
4.02Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review
5.01Changes in Control of Registrant
5.02Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officer
5.03Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year
5.04Temporary Suspension of Trading Under Registrant’s Employee Benefit Plans
5.05Amendments to the Registrant’s Code of Ethics, or Waiver of a Provision of the Code of Ethics
5.06Change in Shell Company Status
6.01ABS Informational and Computational Material.
6.02Change of Servicer or Trustee.
6.03Change in Credit Enhancement or Other External Support.
6.04Failure to Make a Required Distribution.
6.05Securities Act Updating Disclosure.
7.01Regulation FD Disclosure
8.01Other Events
9.01Financial Statements and Exhibits

Please keep in mind that this information is being provided for educational purposes only.  It is not designed to be complete in all material respects.  Thus, it should not be relied upon as providing legal or investment advice.  If you have any questions concerning this post, you should consult a qualified professional.

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At the Fort Lauderdale Law Office of Russell L. Forkey, we represent clients throughout South and Central Florida, including Fort Lauderdale, West Palm Beach, Boca Raton, Sunrise, Plantation, Coral Springs, Deerfield Beach, Pompano Beach, Delray, Boynton Beach, Hollywood, Lake Worth, Royal Palm Beach, Manalapan, Jupiter, Gulf Stream, Wellington, Fort Pierce, Stuart, Palm City, Jupiter, Miami, Orlando, Maitland, Winter Park, Altamonte Springs, Lake Mary, Heathrow, Melbourne, Palm Bay, Cocoa Beach, Vero Beach, Daytona Beach, Deland, New Smyrna Beach, Ormand Beach, Broward County, Palm Beach County, Dade County, Orange County, Seminole County, Martin County, Brevard County, Indian River County, Volusia County and Monroe County, Florida. The law office of Russell L. Forkey also represents South American, Canadian and other foreign residents that do business with U.S. financial institutions, investment advisors, brokerage and precious metal firms.

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