Form ARS Filings

What is SEC Form ARS?

SEC Form ARS is an annual report to security holders submitted to the Securities and Exchange Commission (SEC) for its information under the proxy and information statement rules. It is typically furnished when a company distributes a “glossy” annual report to shareholders in connection with the solicitation of proxies or the delivery of an information statement under Exchange Act Rule 14a-3(c).

Form ARS  is used to ensure that shareholders and regulators have access to the same annual report materials that accompany annual meeting communications, even when the company’s annual report is not filed as part of a Form 10-K.

Form ARS is generally submitted as a PDF on EDGAR and is due based on when the annual report is first sent or given to security holders (or, in certain cases, based on the timing of related proxy filings). Companies may also submit an amended ARS if needed to correct or replace the version previously furnished, and these materials can be reviewed in context with other shareholder communications.

Key elements typically found in SEC Form ARS include:

• Name of the issuer and identifying information
• Period covered by the annual report
• Annual report document submitted in PDF format
• Timing context for when the annual report was first sent to security holders
• Submission type identification (ARS) and EDGAR acceptance details
• If applicable, an amended submission (ARS/A) to correct or replace prior materials

SEC Form ARS Filing Deadlines

SEC Form ARS does not follow a single calendar deadline like periodic reports. Instead, timing is driven by when the annual report is first sent or given to security holders in connection with annual meeting communications, and companies should ensure the submission aligns with applicable proxy and information statement timing requirements.

Key Things to Know About Form ARS Filing Rules

• Submission Is Event-Driven: Form ARS is furnished based on the timing of annual report distribution to security holders rather than a fixed reporting deadline.
• Furnished for Information Only: The annual report submitted as ARS is provided to the SEC for its information and is not treated as a periodic report filing.
• EDGAR PDF Submission Format: ARS submissions are typically made in PDF format as the shareholder-facing version of the annual report that was distributed.
• Often Tied to Annual Meeting Materials: Companies generally submit ARS in connection with proxy or information statement delivery for an annual meeting.
• Amendments May Be Filed When Necessary: If the distributed annual report needs correction or replacement, an amended submission (ARS/A) may be used to update the furnished materials.

To track annual shareholder reports under the Securities Exchange Act of 1934, our real-time SEC filing search helps you monitor filings such as Form ARS, which provide investors with audited financial statements, management discussion, and corporate disclosures.

Investors can use the SEC filers database to explore companies that regularly submit Form ARS and analyze their filing behavior.