The following are the basic Sec forms that investors should be aware of. (www.sec.gov
- Form 10KSB/A – is filed annually and is a report disclosing annual revenues as well as profits, losses, insider names, share amounts and the number of outstanding shares.
- Form 10QSB – is filed quarterly and is a report disclosing revenues as well as profits, losses, along with number of outstanding shares. You may also want to check other flings and note any increases in the o/s because many times this can be a sign of dilution, especially if other aspects of the financials aren't in alignment with increase.
- Form 4 - is filed when an officer, director or anyone owning 10% of the company buys or sells a stock. As a rule - when you see insider buying this usually is a good sign, and if other factors are favorable then insider buying may indicate that this may be a company to invest with and/or watch. However, when you see insider selling/dumping this is usually an indication that the company is failing.
- Form SB-2 - is filed when a company is going to issue more shares.
- Form 8-K - is filed whenever an unscheduled event or change within the company happens. Micro caps have a tendency to reinvent themselves by changing their name, product etc.
- S-8 - These are shares paid out by the company for services.
- S-4 -is filed when a merger or an acquisition between two companies take place.