Learning SEC Filings


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You borrow a share, sell it, hope the stock price drops, then buy another share to pay back your loan, hopefully for less than you borrowed it for. Do that enough and you bet the price will drop. Set it up so that it looks like you really sold the share to everyone except an obscure middleman, and the only toxic byproduct is a liability on your balance sheet representing shares you have sold but not yet purchased.

DiIorio sent personal emails to top officials at the agency. SEC spokesperson Ryan White declined to comment on the matter.

But DiIorio grew frustrated with the lack of response. If true, that meant UBS, or its clients, were taking on multitudes of losses by design. Why was UBS so involved with penny stocks, which had little upside potential for a global megabank?

A remarkable story ensues. Email list managed by MailChimp. The toxic debt also comes with interest. The company will give shares away for money. This money they use to pay themselves. The lenders then will sell these shares once they become unrestricted. These stocks always go down long term. Where you can make money is realizing that these stocks will have to bounce and go up in order to sucker people into buying them.

The company is voting on a reverse split. They most likely plan on diluting the stock value. Reverse Splits cause huge sell offs. This company is raising the Authorized Shares by 5 times what they were and on top of that they are creating a new class of preferred stock that converts into common shares. This will surely lead to huge sell offs down the road.

Now not all SEC Filings are bad obviously. Some 8K filings will have good news like a company uplisting or announcing business acquisitions. This is where you will most likely find Authorized share increases or reverse splits announced. Also, acquisitions and company progress as well as company updates. This form can give you a heads up about an upcoming Reverse Split. It will explain why the transaction is taking place, what class of security, and where the money is coming from to make the purchase.

Form This is a notice of intent to sell restricted stock which us usually held by corporate insiders or affiliates that obtain the stock outside of a public offering. These forms are used to notify investors when this happens. This gives them an extra 15 days to file the k and Q and keep there current status. You can find a full list of forms with a more detailed description at https: Quickly looking at the k and Q First thing you want to do is locate the business summary.

This is where you will be able to find what the company does. This is important to look at and decide is this something that has a good story and that would get investors excited. Most these companies never actually do what they say they will do. All they do is sell the dream to gullible new traders.





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