SEC filings
Form 11-K, the employee stock plan annual report
The annual report for an employee stock purchase, savings or similar plan with registered securities.
- Form
- 11-K, employee stock plan annual report
- Deadline
- 90 or 180 days after plan year end, ET
- Who files
- Plans with registered securities
- Financials
- Audited plan financial statements
- Plan
- Tracked on every plan
When Form 11-K is due
Weekend and SEC holiday due dates roll forward. All deadlines ET.
The plan audit
- Separate auditForm 11-K requires audited financial statements for the plan, not merely the issuer's.
- Audit timingThe audit must be ready early enough to complete the filing and counsel review before the deadline.
- Plan-year trackingAdd the 11-K date your counsel sets to the Company calendar so the plan audit and the deadline stay visible together, in ET.
How TakePublic handles it
TakePublic prepares this; your filing agent files it. TakePublic drafts the Form 11-K, runs the review and counsel sign-off, freezes the signed package, and at Sign and submit the company downloads the filing package (EDGAR envelope, signed documents, manifest and PDF proof) and hands it to its filing agent. The Company calendar row closes when EDGAR shows the filing.
Frequently asked questions
When is Form 11-K due?
90 calendar days after plan year end, or 180 calendar days for eligible ERISA plans filing under a Form S-8. Weekend and SEC holiday due dates roll forward. All deadlines ET.
Does Form 11-K require audited financial statements?
Yes, for the employee plan. The plan audit is separate from the issuer's annual financial statement audit.
Why are Form 11-K filings often late?
The filing depends on a separate plan audit and a plan-year calendar that may not match the issuer's fiscal year. Tracking both early reduces the risk.
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.