When Must an SEC Filer Post an 8-K?

Public companies usually post several 8-Ks throughout the year.   An 8-K should be filed whenever a significant corporate event happens which triggers a disclosure. These are known as “material events” and are beyond what occurs in the ordinary course of business.

Material Events Trigger 8-K Filings

SEC Filers, such as OTC Bulletin Board and OTC Markets OTCQB and OTCQX, must file these 8-Ks promptly when material events occur.  They cannot wait until the next 10-Q or 10-K is due.

SEC Form 8-K Must Be Filed Within 4 Business Days

The time frame in which these SEC fully reporting companies are required to make most 8-K disclosures is within Four (4) Business Days of the triggering material event.  (In some cases the 8-K must be filed even earlier).

The SEC has posted a detailed and helpful explanation of disclosure items that need to be filed in an 8-K on SEC.gov.

OTC Markets Securities Attorney to Review and Draft 8-Ks

Matt Stout is a OTC Markets securities compliance attorney representing microcap public companies, including SEC filers quoted on the OTCQB and OTCQX and those on FINRA’s OTC Bulletin Board (OTCBB).

Issuers with questions regarding SEC regulation and reporting, securities compliance, FINRA corporate actions and DTC eligibility can contact OTC Bulletin Board lawyer Matt Stout at (410) 429-7076 or mstout@otclawyers.com.