SEDAR - SEC: Document Category Equivalency Chart

SEDAR Document Category

Equivalent SEC Document Category

Main Purpose / Use

Schedule 13G (if passive), Form 13F (institutional quarterly holdings)

Form 10-K (especially Business, Risk Factors, Properties, Legal Proceedings)

Form 10-K (includes business overview, financials, MD&A, risk factors

Form 8-K Item 2.01, Pro Forma Financials (Item 9.01), or Form S-4 if part of registration

Exhibit to Prospectus (often embedded in S-1, F-1, or 424B filings); may also be in “Selected Financial Data” or MD&A

Section 302/906 Certifications attached to Forms 10-K and 10-Q

Form 8-K, especially Items 5.02 (officer/director changes), 4.01 (auditor changes), and 5.03 (bylaw changes)

Exhibit 14 to Form 10-K or 20-F (Code of Ethics); may also be found under corporate governance section of DEF 14A

N-CSR (Certified Shareholder Report) or N-CEN for registered investment companies

SEC Comment Letters and Responses (often released separately or as CORRESP, UPLOAD, S-1/A, etc.)

Form 10-K, Item 1200 Series (for oil & gas disclosures); Technical evaluations may also be included as exhibits

Press Releases  (often Exhibits to 8-K, 6-K)on EDGAR or within 10-Q/10-K (under "Dividends" or "Liquidity and Capital Resources"); Form 8-K if material

Exhibit 3(i)/(ii) to 10-K or 8-K (Articles/Bylaws); DEF 14A if subject to vote; Form 8-K if material change occurs

Schedule 13D (active investors) or Schedule 13G (passive), Form 3, 4, 5 (insider ownership)

Form N-1A (Part A/B) for open-end ETFs; Form 497K (Summary Prospectus); ETFs under 1940 Act may file Form N-PORT or N-CEN

Form 10-K, Form 10-Q (quarterly), and Form 8-K (selective events); financials also appear in Registration Statements

Form N-1A (Summary Prospectus); Retail summary via 497K

Comparing mutual fund strategies, risks, fees, and performance

DEF 14A, especially Sections on Executive Compensation, Director Elections, Related-Party Transactions

Schedule TO (Issuer Tender Offer) for substantial issuer bids; 10-Q/10-K "Issuer Purchases of Equity Securities" section for NCIB-type programs

CORRESP (SEC correspondence), Form 8-K Exhibits, or standalone PDFs under EDGAR's "Upload" category

Form S-1 / F-1 / S-3 / F-3 (depending on issuer type); also applicable: Form 8-A (Registration of securities under Section 12)

Form N-CSR (includes annual/semi-annual fund performance and commentary)

Part II, Item 7 of Form 10-K and Form 10-Q; also embedded in some prospectuses

Free Writing Prospectuses (FWPs) under Rule 433, Form 8-K (if filed), Exhibits to Registration Statements

Form 8-K, especially Items 1.01–1.05 and 2.01–2.06 (covers material agreements, bankruptcy, acquisitions, etc.)

Exhibits to Form 8-K, 6-K, 10-K, or 10-Q, especially under Exhibit 10 or Material Definitive Agreements (Item 1.01 on Form 8-K).  Also sometimes under Proxy Materials, Registrations or Prospectuses

Form 8-K and 6-K(covers earnings, leadership changes, material events), Press Releases filed as exhibits, especially under Exhibit 99

No direct equivalent—SEC does not use a separate short form eligibility notice; incorporated by reference eligibility is embedded in S-3 / F-3 instructions

Form 144 (Notice of Proposed Sale of Securities) under Rule 144

Notice of Annual Meeting of Shareholders, typically part of DEF 14A

Form D (for exempt offerings); S-1 / F-1 / 424B (for public); Subscription agreements often filed as exhibits   

Form 8-K (Item 8.01 – Other Events); Free Writing Prospectuses (FWP); or issuer-specific correspondence   

Form S-1, S-3, F-1, F-3 (foreign), 424B filings (final prospectus), and Form 8-A   

DEF 14A (Definitive Proxy Statement), DEFM14A (for mergers), PRE 14A (preliminary)

Form D under Regulation D

Monitoring private placements under prospectus exemptions

Found within N-CSR, 10-K/10-Q MD&A, or Shareholder Letters filed as exhibits or under Item 8.01 on Form 8-K

N-CSR (may include IRC disclosures); also disclosed in Statement of Additional Information (SAI) under Form N-1A

DEF 14A (Proxy Statement) – Item 402; 8-K Item 5.02 for material comp changes; S-1 / F-1 for IPOs

Schedule TO (Tender Offer), Schedule 14D-9 (response by target), DEFM14A if shareholder vote required

Exhibits to 10-K, 8-K, 6-K, and in some cases Form S-1 or S-3; U.S. filers under Regulation S-K Subpart 1300 for mining disclosures

Included in S-1 / F-1 / S-3 registration statements; can also appear in CORRESP (correspondence) filings or Item 9 of registration forms