2020

SEC FILING

DEADLINES

SEC Filing Calendar

with EDGAR Hours of Operation

and SEC Holidays

Calendar of Events

M Mon

T Tue

W Wed

T Thu

F Fri

S Sat

S Sun

0 events,

0 events,

0 events,

0 events,

1 event,

0 events,

0 events,

1 event,

0 events,

0 events,

0 events,

0 events,

0 events,

0 events,

2 events,

2 events,

0 events,

0 events,

3 events,

0 events,

0 events,

4 events,

0 events,

1 event,

0 events,

0 events,

0 events,

0 events,

0 events,

0 events,

0 events,

0 events,

0 events,

0 events,

0 events,

1 event,

1 event,

0 events,

0 events,

0 events,

0 events,

0 events,

SEC Holidays 2020

Wednesday, January 1

New Year’s Day

Monday, January 20

Martin Luther King Day

Monday, February 17

President’s Day

Monday, May 25

Memorial Day

Friday, July 3

Independence Day

Monday, September 7

Labor Day

Monday, October 12

Columbus Day

Wednesday, November 11

Veterans Day

Thursday, November 26

Thanksgiving Day

Friday, December 25

Christmas Day

Guide For 10-K Deadlines

LARGE ACCELERATED FILERS

ACCELERATED FILERS

NON-ACCELERATED FILERS

60 Days from Fiscal Year Ended

75 Days from Fiscal Year Ended

90 Days from Fiscal Year Ended

15 Day Extension with filing of NT 10-K

15 Day Extension with filing of NT 10-K

15 Day Extension with filing of NT 10-K

Guide For 10-Q Deadlines

LARGE ACCELERATED FILERS

ACCELERATED FILERS

NON-ACCELERATED FILERS

40 Days from Quarter End

40 Days from Quarter End

45 Days from Quarter End

5 Day Extension with filing of NT 10-Q

5 Day Extension with filing of NT 10-Q

5 Day Extension with filing of NT 10-Q

Guide For 11-K Deadlines
Form 11-K Due 180 days after the end of the retirement plan year. May file in paper or EDGAR.
NT 11-K Due on the business day after the 11-K due date.
Late 11-K After filing an NT 11-K, the deadline for the 11-K is extended 15 calendar days from the due date.
Guide For Institutional Investment Managers and Large Traders Forms
Form 13-F Due 45 days following the end of each fiscal quarter from institutional investment managers.
Form 13-H

The Initial Filing is made to identify the Large Trader to the SEC.

Due promptly 10 Days after first effecting aggregate transactions equal to or greater than the Identifying Activity Level and annually thereafter. 

Form 13-H-A 

All Large Traders must submit an Annual Filing of Form 13H within 45 days after the end of each full calendar year.

Filers may submit an amended fourth quarter filing jointly with an annual filing by checking the appropriate box on the cover page.

Form 13-H-Q

If any of the information contained in a Form 13H filing becomes inaccurate for any reason, a large trader must file an Amended Filing no later than the end of the calendar quarter in which the information became stale.

A Large Trader on “Inactive Status” (described below) is not required to file any Amended Filings while it is on Inactive Status. Filers may submit an amended fourth quarter filing jointly with an annual filing by checking the appropriate box on the cover page of the 13H-A.

Form 13-H-I If a trader or other person does not meet or exceed the Identifying Activity Level, it would not be required to file Form 13H. In addition, if a person does not anticipate meeting the Identifying Activity Level again (and has not met it during the previous full calendar year).
Form 13-H-R  If an adviser on Inactive Status meets or exceeds the Identifying Activity Level, it must file for Reactivated Status promptly within 10 Days.
Form 13-H-T Termination Filing (13H-T): Persons can terminate their status as Large Traders by submitting a Termination Filing.
Schedule 13G Due 45 Days following the end of the calendar year.
Schedule 13D-1-c For Passive Investors Within 10 Days of the acquisition of more than 5 percent but less than 20 percent.
Schedule 13D-1-b For Qualified Institutional Investor Within 45 Days of the end of the calendar year in which the beneficial owner acquired more than 5 percent and within 10 Days of the end of the calendar month in which the beneficial owner acquired more than 10 percent.
Schedule 13D-1-d For Exempt Investor Within 45 Days of the end of the calendar year in which the beneficial owner acquired more than 5 percent.
Form MA Municipal Advisory firms must renew Form MA 90 days after the end of their fiscal year.
Form 24F-2 Due 90 days following the end of the fiscal year by investment companies.
N-30D & N-CSR Due to be printed and mailed 60 days following the end of each fiscal half-year by investment companies. The EDGAR filing is due ten days after the actual mailing date.
N-CEN Due 75 days after the end of fiscal year for Investment Management Companies and 75 days after end of the calendar year for UITs.
N-CSRS Semi-Annual Report – Due to be printed and mailed 60 days following the end of each half-year by investment companies. The EDGAR filing is due ten days after the actual mailing date.
N-PX Due no later than August 31 of each year.
N-Q Due 60 days following the end of the first and third quarter by investment companies.
NT NCSR Due on the business day after the NCSR due date.
Late NCSR After filing an NT NCSR, the deadline for the NCSR is extended 15 calendar days from the due date.
N-PORT Due within 30 days of the end of the calendar month.
Form SD Conflict minerals report, due no later than May 31st of each year.
485BPOS Annual update of Post-effective amendment, due 120 days following the fiscal year end. The form applies to Open-End Mutual Funds, Annuity & Life products.
486BPOS Annual update of Post-effective amendment, due 120 days following the fiscal year end. The form applies to Closed-End Mutual Funds.
Form N-SAR  
NSAR-A Due from mutual funds 60 days after the first half of the fiscal year.
NSAR-И Due from mutual funds 60 days after the end of the fiscal year.
NSAR-U Due from Unit Investment Trusts 60 days after the end of the fiscal year.
NT NSAR Due on the business day after the N-SAR due date.
Late NSAR After filing a NT NSAR, the deadline for the N-SAR is extended 15 calendar days from the due date.
Guide For Section 16 Beneficial Ownership Forms
Form 3 Reporting owners must file: (a) When the registration statement is effective for new Issuers, or (b) 10 Business Days after becoming a reporting owner of an existing Issuer.
Form 4

Due by the end of the 2nd Business Day after the transaction.

If transaction handled by third party who exercises the option on behalf of the filer, the third party has three days to notify the filer of the transaction. The filer then must file by the end of the 2nd Business Day after notification.

Form 5 Due 45 days after the end of the issuer’s/subject company’s fiscal year.
Guide For Foreign Forms Deadlines
Form 20-F A foreign private issuer must file its annual report on Form 20-F within six months after the end of the fiscal year covered by the report.
NT 20-F Due on the business day after the 20-F due date.
Late 20-F After filing an NT 20-F, the deadline for the 20-F is extended 15 calendar days from the actual due date.
SEC Filing Hours and Useful SEC / EDGAR Information

For domestic and foreign compliance deadlines, the Securities and Exchange Commission experiences very high-volume filing periods. Most companies have a fiscal year that matches the calendar year, creating a lot of EDGAR filing activity at the same time each quarter. For your convenience, we have identified these SEC compliance deadlines and SEC holidays by filing type above. It is important to submit your EDGAR documents to OffistraEdgarFiling as soon as possible during these high-volume periods. This minimises the need for last-minute conversions and edits, which can jeopardise your filing timeliness.

UNITED STATES
EDGAR Filing Hours Pacific Mountain Central Eastern
Transmit filings to the SEC* 3am–7pm 4am–8pm 5am–9pm 6am-10pm
SEC filer support assistance 6am-2:30pm 7am-3:30pm 8am-4:30pm 9am-5:30pm
SEC deadline to receive today’s date (except Section 16 and MEF)** 2:30pm 3:30pm 4:30pm 5:30pm
Section 16 and MEF to receive today’s date 3am–7pm 4am–8pm 5am–9pm 6am-10pm
CANADA
EDGAR Filing Hours Vancouver Calgary Toronto Montreal
Transmit filings to the SEC* 3am-7pm 4am-8pm 6am-10pm 6am-10pm
SEC filer support assistance 6am-2:30pm 7am-3:30pm 9am-5:30pm 9am-5:30pm
SEC deadline to receive today’s date (except Section 16 and MEF)** 2:30pm 3:30pm 5:30pm 5:30pm
Section 16 and MEF transmission to receive today’s date 3am-7pm 4am-8pm 6am-10pm 6am-10pm
EUROPE
EDGAR Filing Hours London Paris Frankfurt Milan
Transmit filings to the SEC* 11am-3am 12pm-4am 12pm-4am 12pm-4am
SEC filer support assistance 2pm-10:30pm 3pm-11:30pm 3pm-11:30pm 3pm-11:30pm
SEC deadline to receive today’s date (except Section 16 and MEF)** 10:30pm 11:30pm 11:30pm 11:30pm
Section 16 and MEF transmission to receive today’s date 11am-3am 12pm-4am 12pm-4am 12pm-4am
ASIA
EDGAR Filing Hours Mumbai Hong Kong Seoul/Tokyo Sydney
Transmit filings to the SEC* 3:30pm-7:30am 6pm-10am 7pm-11am 8pm-12pm
SEC filer support assistance 6:30pm-3am 9pm-5:30am 10pm-6:30am 11pm-7:30am
SEC deadline to receive today’s date (except Section 16 and MEF)** 3am 5:30am 6:30am 7:30am
Section 16 and MEF transmission to receive today’s date 3:30am-7:30am 6pm-10am 7pm-11am 8pm-12pm

* At the end of the filing day, all transmissions must be completed in order to be processed. Those that are processing at the end of the day will be terminated, requiring the filer to start over again the following day.

** In order to receive today’s date, the transmission must BEGIN by this time, correct fees must be available and filing must be free from errors. Section 16 and MEF filings are the exception. These filings can be processed until the end of the filing day and still receive today’s date. They will also be disseminated until 10:00pm EST.

NOTE – If a filing due date falls on a weekend or SEC holiday, the filing is due on the following business day.

EDGAR Hours of Operation

The EDGAR system hours of operation for submitting files are 6:00 a.m. to 10:00 p.m. Eastern Time, weekdays, excluding Federal Holidays.  Files submitted after 5:30 p.m. Eastern (with the exception of Section 16 and MEF filings) will receive the next business day’s filing date.

2020 Deadline Highlights

If a filing due date falls on a weekend or SEC holiday, the filing is due on the following business day.

All above must be filed prior to 5:30pm EST to meet the SEC filing deadline requirements.

We are available

24 Hours a Day & 7 Days a Week

Please feel free to ask any questions to our EDGAR/SEDAR & XBRL Compliance Specialists

Share This