Form 5
Form 5 is the Annual Statement of Changes of Beneficial Ownership of Securities.
Form 5 must be filed on or before the 45th day after the end of the issuer's fiscal year in accordance with Rule 16a-3(f).
Additional Form 5 Information
- General Information on Form 3, 4 & 5
- General Instructions on Filing Form 5 (PDF)
- Form 5 Example (PDF)
Form 5 calculator. Select the Issuer's Fiscal Year End to obtain the EDGAR filing deadline.
Filing Deadline Calculator
Disclaimer:
This filing deadline calculator is provided for informational purposes only. All information is from sources believed to be reliable; however, accuracy cannot be guaranteed. Do not act or rely upon the results provided without seeking the services of competent professional counsel.
Calendar of SEC Holidays
The SEC & EDGAR system are closed on the following Federal Holidays. The holidays on this calendar are dynamically generated and have not been manually verified.
Date | Federal Holidays |
Monday, January 01, 2024 | New Year's Day |
Monday, January 15, 2024 | Martin Luther King, Jr. Day |
Monday, February 19, 2024 | Presidents' Day |
Monday, May 27, 2024 | Memorial Day |
Wednesday, June 19, 2024 | Juneteenth |
Thursday, July 04, 2024 | Independence Day |
Monday, September 02, 2024 | Labor Day |
Monday, October 14, 2024 | Columbus Day |
Monday, November 11, 2024 | Veteran's Day |
Thursday, November 28, 2024 | Thanksgiving Day |
Wednesday, December 25, 2024 | Christmas Day |
Upcoming Federal Holidays
The SEC and EDGAR system will be closed for:
- Monday, October 14, 2024: Columbus Day
- Monday, November 11, 2024: Veteran's Day
- Thursday, November 28, 2024: Thanksgiving Day
Note: If a holiday falls on a Saturday or Sunday, the Federal observed holiday is moved to the preceding Friday or following Monday.
Upcoming Filing Due Dates
Large Accelerated Filers:
- 10-Q: Due Thursday, October 10, 2024 for Quarterly Period Ended 08/31/24
- 10-K: Due Wednesday, October 30, 2024 for Fiscal Year Ended 08/31/24
- 10-Q: Due Tuesday, November 12, 2024 for Quarterly Period Ended 09/30/24
- 10-K: Due Friday, November 29, 2024 for Fiscal Year Ended 09/30/24
- 10-Q: Due Tuesday, December 10, 2024 for Quarterly Period Ended 10/31/24
- 10-K: Due Monday, December 30, 2024 for Fiscal Year Ended 10/31/24
Accelerated Filers:
- 10-Q: Due Thursday, October 10, 2024 for Quarterly Period Ended 08/31/24
- 10-K: Due Tuesday, October 15, 2024 for Fiscal Year Ended 07/31/24
- 10-Q: Due Tuesday, November 12, 2024 for Quarterly Period Ended 09/30/24
- 10-K: Due Thursday, November 14, 2024 for Fiscal Year Ended 08/31/24
- 10-Q: Due Tuesday, December 10, 2024 for Quarterly Period Ended 10/31/24
- 10-K: Due Monday, December 16, 2024 for Fiscal Year Ended 09/30/24
Non-Accelerated Filers:
- 10-Q: Due Tuesday, October 15, 2024 for Quarterly Period Ended 08/31/24
- 10-K: Due Tuesday, October 29, 2024 for Fiscal Year Ended 07/31/24
- 10-Q: Due Thursday, November 14, 2024 for Quarterly Period Ended 09/30/24
- 10-K: Due Friday, November 29, 2024 for Fiscal Year Ended 08/31/24
- 10-Q: Due Monday, December 16, 2024 for Quarterly Period Ended 10/31/24
- 10-K: Due Monday, December 30, 2024 for Fiscal Year Ended 09/30/24
Other Deadlines:
- 13H-Q: Due Thursday, October 10, 2024 for Calendar Quarter ended 09/30/24
- 5: Due Tuesday, October 15, 2024 for Fiscal Year ended 08/31/24
- 11-K: Due Tuesday, October 29, 2024 for Fiscal Year ended 07/31/24
- 24F-2: Due Tuesday, October 29, 2024 for Fiscal Year ended 07/31/24
- 13-F: Due Thursday, November 14, 2024 for Calendar Quarter ended 09/30/24
- 5: Due Thursday, November 14, 2024 for Fiscal Year ended 09/30/24
- 11-K: Due Friday, November 29, 2024 for Fiscal Year ended 08/31/24
- 24F-2: Due Friday, November 29, 2024 for Fiscal Year ended 08/31/24
- 20-F: Due Monday, December 02, 2024 for Fiscal Year ended 07/31/24
- 5: Due Monday, December 16, 2024 for Fiscal Year ended 10/31/24
- 20-F: Due Monday, December 30, 2024 for Fiscal Year ended 08/31/24
- 11-K: Due Monday, December 30, 2024 for Fiscal Year ended 09/30/24
- 24F-2: Due Monday, December 30, 2024 for Fiscal Year ended 09/30/24
General Filing Deadlines
Large Accelerated Filers | ||
FY Ending on or After | Form 10-K | Form 10-Q |
December 15, 2005 | 75 days after fiscal year end | 40 days after quarter end |
December 15, 2006 | 60 days after fiscal year end | 40 days after quarter end |
December 15, 2007 | 60 days after fiscal year end | 40 days after quarter end |
Accelerated Filers | ||
FY Ending on or After | Form 10-K | Form 10-Q |
December 15, 2002 | 90 days after fiscal year end | 45 days after quarter end |
December 15, 2003 | 75 days after fiscal year end | 45 days after quarter end |
December 15, 2004 | 75 days after fiscal year end | 40 days after quarter end |
December 15, 2005 | 75 days after fiscal year end | 40 days after quarter end |
December 15, 2006 | 75 days after fiscal year end | 40 days after quarter end |
December 15, 2007 | 75 days after fiscal year end | 40 days after quarter end |
Investment management | Annual | Interim |
N-Q | 60 days after 1st & 3rd fiscal quarter end | 60 days after 1st & 3rd fiscal quarter end |
N-PX | Due no later than August 31 | Due no later than August 31 |
N-SAR | 60 days after fiscal year end | 60 days after end of 2nd fiscal quarter |
N-CSR | Due to be printed and mailed 60 days following end of each half year by investment companies. EDGAR filing is due 10 days after mailing date. | Due to be printed and mailed 60 days following end of each half year by investment companies. EDGAR filing is due 10 days after mailing date. |
Schedule 13G | Due 45 days following the end of the calendar year | Due 45 days following the end of the calendar year |
Form 13F | Due 45 days following the end of each fiscal quarter from institutional investment managers | 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. | Due 10 days after the acquisition of more than 5% beneficial ownership. |
Form 24F-2 | Due 90 days following the end of the fiscal year by investment companies. | Due 90 days following the end of the fiscal year by investment companies. |
Non-Accelerated Filers | ||
Form 10-Q/10-QSB | 45 days after end of quarter end | |
Form 10-K/10-KSB | 90 days after end of fiscal year end | |
Form 11-K | Due 180 days after the end of the retirement plan year. | |
Section 16 Beneficial Ownership Forms | ||
Form 3 | Due 10 days after the event an individual becomes a reporting person. | |
Form 4 | Due before end of 2nd business day in which a company insider trades registered securities in the company. | |
Form 5 | Due on or before 45th day after the end of the issuer’s fiscal year. | |
Foreign Forms | ||
Form 20-F | A foreign private issuer must file its annual report on Form 20-F within six months after the end of the fiscal year covered by the report. | |
- If a filing due date falls on a weekend or SEC holiday, the filing is due on the following business day.
- The EDGAR system hours of operation for submitting files are 6:00 a.m. to 10:00 p.m. Eastern Time, weekdays, excluding Federal Holidays. Files submitted after 5:30 p.m. Eastern (with the exception of Section 16 filings) will receive the next business day's filing date.
- Companies may request a filing extension for their Form 10-Q's and 10-K's by submitting Form 12b-25 via the EDGAR system. By filing this form, a filer may gain up to 5 additional days to file Form 10-Q or 15 days to file Form 10-K. Companies have up to 24 hours after the original filing deadline to file Form 12b-25.
All information is from sources believed to be reliable; however, accuracy cannot be guaranteed. Do not act or rely upon the information and advice provided on this page or elsewhere on this website without seeking the services of competent professional counsel.