Series 79: 1.1.4. Current Reports: Form 8-K

Taken from our Series 79 Online Guide

1.1.4. Current Reports: Form 8-K

Unlike the quarterly and annual reports described previously, which must be filed regularly and which must include specific content, a public company must file Form 8-K only when it has a material event to report to shareholders. The instructions for Form 8-K specify more than two dozen material events that must be reported. The following are the triggering events that are most relevant to investment bankers:

Entry into, or termination of, a “material definitive agreement” (e.g., a merger agreement)

Bankruptcy or receivership

Completion of acquisition or disposition of assets

Disclosure of results of operations and financial condition

The creation, acceleration, or increase in amount of a direct financial obligation or obligation under an off-balan

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