Glossary — AI Analytics

SEC form types

3: Initial statement of beneficial ownership (insider).
4: Statement of changes in beneficial ownership (insider sales/buys).
5: Annual statement of changes in beneficial ownership.
144: Notice of proposed sale under Rule 144. Filed before an affiliate sells restricted or control stock — predictive insider-sale signal.
10-K: Annual report. Comprehensive overview of business + financials.
10-K/A: Amendment to a 10-K annual report.
10-Q: Quarterly report. Unaudited financials for one quarter.
10-Q/A: Amendment to a 10-Q quarterly report.
8-K: Current report. Material events (mergers, exec changes, earnings, etc.).
8-K/A: Amendment to an 8-K current report.
20-F: Annual report for foreign private issuers (NYSE/Nasdaq-listed non-US).
6-K: Foreign issuer's report of material information.
13F-HR: Quarterly holdings report by institutional investment managers (>$100M).
13F-NT: Notice that holdings were reported on a different 13F filing.
SCHEDULE 13D: Beneficial owner of >5%, with intent to influence/control. Activist filing.
SCHEDULE 13G: Beneficial owner of >5% with passive intent. Index funds etc.
DEF 14A: Definitive proxy statement. Includes exec comp, board votes, governance.
DEFA14A: Additional definitive proxy materials.
S-1: Registration statement for new public offerings (IPOs).
S-3: Simplified registration for seasoned issuers (secondary offerings).
424B2: Prospectus supplement for shelf offerings (filed under Rule 424(b)(2)).
NPORT-P: Monthly portfolio holdings report by registered investment companies.
144/A: Amendment to a Form 144 notice.

SEC 8-K item codes

Item 1.01: Entry into a Material Definitive Agreement — often M&A, financing, or partnership.
Item 1.02: Termination of a Material Definitive Agreement.
Item 2.01: Completion of Acquisition or Disposition of Assets.
Item 2.02: Results of Operations and Financial Condition (earnings release).
Item 2.05: Costs Associated with Exit or Disposal Activities (layoffs, restructuring).
Item 3.01: Notice of Delisting or Failure to Satisfy Listing Rule.
Item 3.02: Unregistered Sales of Equity Securities (private placement).
Item 4.01: Changes in Registrant's Certifying Accountant (auditor change).
Item 4.02: Non-Reliance on Previously-Issued Financial Statements (restatement — red flag).
Item 5.02: Departure/Election of Directors or Officers; Compensatory Arrangements (executive changes).
Item 5.07: Submission of Matters to a Vote of Security Holders (annual-meeting results).
Item 7.01: Regulation FD Disclosure (voluntary material information).
Item 8.01: Other Events — catch-all material disclosure.
Item 9.01: Financial Statements and Exhibits.

SEC insider transaction codes

P: Open-market or private purchase (insider buy).
S: Open-market or private sale (insider sell).
A: Grant, award, or other acquisition (e.g., RSU vesting).
M: Exercise/conversion of derivative security (option exercise).
F: Payment of tax through share withholding.
G: Bona fide gift.
D: Disposition to issuer (e.g., share buyback by company).

fda.recall_class

Class I: Most serious recall — risk of death or serious injury.
Class II: Risk of temporary or reversible adverse health consequences.
Class III: Unlikely to cause adverse health consequences (labeling violations etc.).

fda.510k

510(k): Pre-market notification for medical devices (Substantial Equivalence path).
Substantially Equivalent: FDA decision that a device is at least as safe/effective as a predicate.

fda.adverse

FAERS: FDA Adverse Event Reporting System (post-marketing drug safety).
MedDRA: Medical Dictionary for Regulatory Activities — standardized reaction terms.

weather.severity

Extreme: Extraordinary threat to life or property (NWS severity).
Severe: Significant threat to life or property (NWS severity).
Moderate: Possible threat to life or property (NWS severity).
Minor: Minimal or no known threat (NWS severity).

climate.usgs

MMI: Modified Mercalli Intensity — instrumental shaking-intensity estimate.
CDI: Community Determined Intensity — max user-reported intensity (DYFI).
DYFI: USGS 'Did You Feel It?' citizen-science felt-reports system.
PAGER: USGS automated impact-alert system (green/yellow/orange/red).
ml: Local (Richter) magnitude — small/regional earthquakes.
mb: Body-wave magnitude — global short-period seismic body waves.
mww: Moment magnitude (W-phase) — preferred for large global events.

register.type

Rule: Final rule adopted by an agency, legally binding.
Proposed Rule: Rule out for public comment before finalization.
Notice: Agency announcement that doesn't have direct legal effect.
Presidential Document: Executive Order, Proclamation, or other presidential action.

SEC identifiers

CIK: Central Index Key — SEC's permanent identifier for a filer (10-digit zero-padded).
CUSIP: Committee on Uniform Securities Identification Procedures — 9-char security ID.
EIN: Employer Identification Number — IRS taxpayer ID.
SIC: Standard Industrial Classification — 4-digit industry code.

Federal contracting identifiers

UEI: Unique Entity Identifier — federal contracting/grants identifier (replaced DUNS).
NAICS: North American Industry Classification System — replacement for SIC.
PSC: Product Service Code — federal procurement product/service classification.