SEC filings
Amendments (/A filings)
An amendment corrects or updates a prior filing.
- Forms
- 10-K/A, 10-Q/A, 8-K/A, 3/A, 4/A, 5/A
- Deadline
- None of its own
- Who files
- Companies and reporting persons
- Auditor review
- Optional in Core, for restatements
- Plan
- Section 16; Core in closed beta
How TakePublic handles amendments
- 01Create the amendment
- 02Explanatory note
- 03Auditor review, in Core
- 04Counsel signs
- 05Filed to EDGAR
When amendments are due
Amendments carry no statutory due date in TakePublic's deadline math. File when counsel determines a correction or update is required, and track internal targets in ET.
What an amendment contains
- Explanatory noteThe purpose of the amendment, as the first section.
- Amended materialSections or exhibits replacing or supplementing the original.
- Section 16 /A formsCorrected ownership tables and footnotes, transmitted as 3/A, 4/A or 5/A under the reporting person's codes with the original submission date.
Frequently asked questions
Do amendments have a statutory due date?
No; file as soon as the correction is required. The exception is Part III information omitted from a 10-K, which Form 10-K General Instruction G(3) requires within 120 days of fiscal year end, by 10-K/A or proxy statement.
Do amendments require auditor review?
Not mandatorily. Section 16 /A forms never go to the auditor. In Core, a 10-K/A or 10-Q/A skips the auditor detour the original report takes, but you can send one through auditor review by choice, for example on a restatement.
Can TakePublic submit amendments live to EDGAR?
Yes for 10-K/A, 10-Q/A, 8-K/A, and Forms 3/A, 4/A, and 5/A, which are on the live-verified list after counsel sign-off.
Who signs off before an amendment files?
Your securities attorney, on the exact document version. TakePublic is not a law firm.
Which plan covers amendments?
Section 16 covers Forms 3/A, 4/A and 5/A. Company-report amendments sit with Core, which also covers ownership amendments when every form type is unlocked.
Official sources
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TakePublic is a technology platform, not a law firm, broker-dealer, or auditor. Forms 3, 4 and 5 prepared in TakePublic file only after the reviewer the company designates, such as its securities counsel, signs off; any other filing prepared in TakePublic files only after a licensed securities attorney signs off.