Look over this..... For domestic and foreign co
Post# of 39368
Posted On: 11/20/2013 10:16:03 AM
Look over this.....
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For domestic and foreign compliance deadlines, the Securities and Exchange Commission experiences very high-volume filing periods. Most companies have a fiscal year that matches the calendar year, creating a lot of EDGAR filing activity at the same time each quarter. For your convenience, we have identified these SEC compliance deadlines and SEC holidays linked above. It is important to submit your EDGAR documents to Merrill as soon as possible during these high-volume periods. This minimizes the need for last-minute conversions and edits, which can jeopardize your filing timeliness.
Click on the calendar type to view from the list above. When calendar is displayed click on the domestic or foreign submission type listed in the calendar to quickly view the rule used to identify each deadline, then use your browser's back button to return to the calendar.
Large Accelerated Calendar
http://www.sec.gov/rules/final/33-8644.pdf
SEC Holiday
(no filing allowed)
Federal Holiday
Due Date
Submission Type
JAN
1 (Tue)
New Year's Day
21 (Mon)
Martin Luther King Jr. Day
FEB
14 (Thu)
SC 13G & SC 13G/A , 5 , 13-F
18 (Mon)
Presidents' Day
MAR
1 (Fri)
10-K
4 (Mon)
NT 10-K*
18 (Mon)
Late 10-K*
APR
30 (Tue)
Proxy Statement or 10-K/A , 20-F
MAY
1 (Wed)
NT 20-F
10 (Fri)
10-Q
13 (Mon)
NT 10-Q*
15 (Wed)
13-F , Late 10-Q , Late 20-F
27 (Mon)
Memorial Day
JUN
JUL
1 (Mon)
11-K*
2 (Tue)
NT 11-K
4 (Thu)
Independence Day
16 (Tue)
Late 11-K
AUG
9 (Fri)
10-Q
12 (Mon)
NT 10-Q*
14 (Wed)
13-F , Late 10-Q
SEP
2 (Mon)
Labor Day
OCT
14 (Mon)
Columbus Day
NOV
11 (Mon)
Veterans Day (observed)
12 (Tue)
10-Q*
13 (Wed)
NT 10-Q
14 (Thu)
13-F ,
18 (Mon)
Late 10-Q
28 (Thu)
Thanksgiving Day
DEC
25 (Wed)
Christmas Day
Deadlines based on 12/31 FYE.
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 ( reference Exchange Act Rule 0-3 ). The dates on which this occurs have an * next to the submission type in the right column of the calendar.
| Form 10-K | Due 60 days following the end of the fiscal year. SEC Rule 33-8644 |
| 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 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 40 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 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 due date. |
| Form 13F | Due 45 days following the end of each fiscal quarter from institutional investment managers. |
| Schedule 13G | Due 45 days following the end of the calendar year. |
| Ownership Reports | |
| Form 3 | An insider of an issuer that is registering equity securities for the first time under Section 12 of the Exchange Act must file this Form no later than the effective date of the registration statement. If the issuer is already registered under Section 12, the insider must file a Form 3 within ten days of becoming an officer, director, or beneficial owner. |
| 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 within four months after the end of the fiscal year covered by the report. |
| NT 20-F | Due on the business day after the 20-F due date. |
| Late 20-F | After filing an NT 20-F, the deadline for the 20-F is extended 15 calendar days from the due date |
top of page Accelerated Calendar
SEC Holiday
(no filing allowed)
Federal Holiday
Due Date
Submission Type
JAN
1 (Tue)
New Year's Day
21 (Mon)
Martin Luther King Jr. Day
FEB
14 (Thu)
SC 13G & SC 13G/A , 5 , 13-F
18 (Mon)
Presidents' Day
MAR
18 (Mon)
10-K*
19 (Tue)
NT 10-K
APR
2 (Tue)
Late 10-K
30 (Tue)
Proxy Statement or 10-K/A , 20-F
MAY
1 (Wed)
NT 20-F
10 (Fri)
10-Q
13 (Mon)
NT 10-Q*
15 (Wed)
13-F , Late 10-Q , Late 20-F
27 (Mon)
Memorial Day
JUN
JUL
1 (Mon)
11-K*
2 (Tue)
NT 11-K
4 (Thu)
Independence Day
16 (Tue)
Late 11-K
AUG
9 (Fri)
10-Q
12 (Mon)
NT 10-Q*
14 (Wed)
13-F , Late 10-Q
SEP
2 (Mon)
Labor Day
OCT
14 (Mon)
Columbus Day
NOV
11 (Mon)
Veterans Day (observed)
12 (Tue)
10-Q*
13 (Wed)
NT 10-Q
14 (Thu)
13-F ,
18 (Mon)
Late 10-Q
28 (Thu)
Thanksgiving Day
DEC
25 (Wed)
Christmas Day
Deadlines based on 12/31 FYE.
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 ( reference Exchange Act Rule 0-3 ). The dates on which this occurs have an * next to the submission type in the right column of the calendar.
| Form 10-K | Due 75 days following the end of the fiscal year SEC Rule 33-8644 . |
| 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 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 40 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 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 due date. |
| Form 13F | Due 45 days following the end of each fiscal quarter from institutional investment managers. |
| Schedule 13G | Due 45 days following the end of the calendar year. |
| Ownership Reports | |
| Form 3 | An insider of an issuer that is registering equity securities for the first time under Section 12 of the Exchange Act must file this Form no later than the effective date of the registration statement. If the issuer is already registered under Section 12, the insider must file a Form 3 within ten days of becoming an officer, director, or beneficial owner. |
| 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 | A foreign private issuer must file its annual report on this Form within four months after the end of the fiscal year covered by the report. |
| NT 20-F | Due on the business day after the 20-F due date. |
| Late 20-F | After filing an NT 20-F, the deadline for the 20-F is extended 15 calendar days from the due date. |
Standard Calendar
| SEC Holiday (no filing allowed) | Federal Holiday | Due Date | Submission Type | |
| JAN | 1 (Tue) | New Year's Day | ||
| 21 (Mon) | Martin Luther King Jr. Day | |||
| | | |||
| FEB | 14 (Thu) | SC 13G & SC 13G/A , 5 , 13-F | ||
| 18 (Mon) | Presidents' Day | |||
| | | |||
| MAR | ||||
| | | |||
| APR | ||||
| 1 (Mon) | 10-K* | |||
| 2 (Tue) | NT 10-K | |||
| 16 (Tue) | Late 10-K | |||
| 30 (Tue) | Proxy Statement or 10-K/A , 20-F | |||
| | | |||
| MAY | 1 (Wed) | NT 20-F | ||
| 15 (Wed) | 10-Q , 13-F , Late 20-F | |||
| 16 (Thu) | NT 10-Q | |||
| 20 (Mon) | Late 10-Q | |||
| 27 (Mon) | Memorial Day | |||
| | | |||
| JUN | ||||
| | | |||
| JUL | 1 (Mon) | 11-K* | ||
| 2 (Tue) | NT 11-K | |||
| 4 (Thu) | Independence Day | |||
| 16 (Tue) | Late 11-K | |||
| | | |||
| AUG | 14 (Wed) | 10-Q, 13-F | ||
| 15 (Thu) | NT 10-Q | |||
| 19 (Mon) | Late 10-Q | |||
| | | |||
| SEP | 2 (Mon) | Labor Day | ||
| | | |||
| OCT | 14 (Mon) | Columbus Day | ||
| | | |||
| NOV | 11 (Mon) | Veterans Day (observed) | ||
| 14 (Thu) | 10-Q , 13-F | |||
| 15 (Fri) | NT 10-Q | |||
| 19 (Tue) | Late 10-Q | |||
| 28 (Thu) | Thanksgiving Day | |||
| | | |||
| DEC | 25 (Wed) | Christmas Day | ||
| | ||||
Deadlines based on 12/31 FYE.
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 ( reference Exchange Act Rule 0-3 ). The dates that this occurs on have an * next to the submission type in the right column of the calendar.
| 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 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 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 due date. |
| Form 13F | Due 45 days following the end of each fiscal quarter from institutional investment managers. |
| Schedule 13G | Due 45 days following the end of the calendar year. |
| Ownership Reports | |
| Form 3 | An insider of an issuer that is registering equity securities for the first time under Section 12 of the Exchange Act must file this Form no later than the effective date of the registration statement. If the issuer is already registered under Section 12, the insider must file a Form 3 within ten days of becoming an officer, director, or beneficial owner. |
| 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 | A foreign private issuer must file its annual report on this Form within four months after the end of the fiscal year covered by the report. |
| NT 20-F | Due on the business day after the 20-F due date. |
| Late 20-F | After filing an NT 20-F, the deadline for the 20-F is extended 15 calendar days from the due date. |
Investment Management Calendar
| SEC Holiday (no filing allowed) | Federal Holiday | Due Date | Submission Type | |
| JAN | 1 (Tue) | New Year's Day | ||
| 8 (Tue) | N-MFP | |||
| 21 (Mon) | Martin Luther King Jr. Day | |||
| | | |||
| 7 (Thu) | N-MFP | |||
| FEB | 14 (Thu) | SC 13G & SC 13G/A , 13-F | ||
| 18 (Mon) | Presidents' Day | |||
| | | |||
| MAR | 1 (Fri) | NSAR-B , NSAR-U | ||
| 4 (Mon) | NT NSAR | |||
| 7 (Thu) | N-MFP | |||
| 11 (Mon) | N-30D , NCSR | |||
| 12 (Tue) | NT NCSR | |||
| 18 (Mon) | Late NSAR-B* , Late NSAR-U* | |||
| 26 (Tue) | Late NCSR | |||
| | | |||
| APR | ||||
| 1 (Mon) | 24F-2* | |||
| 5 (Fri) | N-MFP | |||
| | | |||
| 7 (Tue) | N-MFP | |||
| MAY | 15 (Wed) | 13-F | ||
| 27 (Mon) | Memorial Day | |||
| 30 (Thu) | N-Q | |||
| | | |||
| JUN | 6 (Fri) | N-MFP | ||
| | | |||
| JUL | 4 (Thu) | Independence Day | ||
| 8 (Mon) | N-MFP | |||
| | | |||
| 7 (Wed) | N-MFP | |||
| AUG | 14 (Wed) | 13-F | ||
| 29 (Thu) | NSAR-A | |||
| 30 (Fri) | NT NSAR , N-PX | |||
| | | |||
| SEP | 2 (Mon) | Labor Day | ||
| 9 (Mon) | N-MFP | |||
| 9 (Mon) | N-30D* , NCSR* | |||
| 10 (Tue) | NT NCSR | |||
| 13 (Fri) | Late NSAR-A | |||
| 23 (Mon) | Late NCSR | |||
| | | |||
| 7 (Mon) | N-MFP | |||
| OCT | 14 (Mon) | Columbus Day | ||
| | | |||
| 7 (Thu) | N-MFP | |||
| NOV | 11 (Mon) | Veterans Day (observed) | ||
| 14 (Thu) | 13-F | |||
| 28 (Thu) | Thanksgiving Day | |||
| 29 (Fri) | N-Q | |||
| | | |||
| 6 (Fri) | N-MFP | |||
| DEC | 25 (Wed) | Christmas Day | ||
| | ||||
Deadlines 12/31 was used to determine filing deadline date.
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 ( reference Exchange Act Rule 0-3 ). The dates on which this occurs have an * next to the submission type in the right column of the calendar.
| N-30D & NCSR | Due to be printed and mailed 60 days following the end of each half-year by investment companies. The EDGAR filing is due ten days after the actual mailing date. |
| N-Q | Due 60 days following the end of the first and third quarter by investment companies. |
| NT NCSR | Due on the business day after the NCSR due date. |
| Late NCSR | Due 15 calendar days following the due date. |
| Schedule 13G | Due 45 days following the end of the calendar year. |
| Form 13-F | Due 45 days following the end of each fiscal quarter from institutional investment managers. |
| Form 13D | Due 10 days after the acquisition of more than 5% beneficial ownership. |
| Form N-MFP | Due 5 business days after the last day of each month. |
| Form N-SAR | |
| NSAR-B | Due from mutual funds 60 days after the end of the fiscal year. |
| NSAR-A | Due from mutual funds 60 days after the first half of the fiscal year. |
| NSAR-U | Due from Unit Investment Trusts 60 days after the end of the fiscal year. |
| NT NSAR | Due on the business day after the N-SAR due date. |
| Late NSAR | After filing an NT NSAR, the deadline for the N-SAR is extended 15 calendar days from the due date. |
| Form 24F-2 | Due 90 days following the end of the fiscal year by investment companies. |
| N-PX | Due no later than August 31 of each year. |
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