How do you prepare SEC filings?

Question

What is the purpose of SEC filings? When does a company file Schedule 13D, Scheudle 13G, and Section 16 filings such as Form 3, Form 4, Form 5? Is a different form used for an executive or investor?

Answer 1

A document, usually containing financial data, that a company delivers to the SEC and, thereby, to the public. Since financial data is supposed to be public the SEC requires this.

Answer 2

You don't need to file unless it's a public company.