dfsco usa 2017 sec calendar 20161110

2017 SEC Filing Deadlines Calendar

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New Year’s Day (observed)Martin Luther King, Jr. DayPresidents’ Day /Washington’s BirthdayMemorial DayIndependence Day

January 2 January 16

February 20

May 29July 4

Labor DayColumbus DayVeterans Day (observed)Thanksgiving DayChristmas Day

September 4October 9November 10November 23December 25

If a filing date falls on a weekend or Federal Holiday, the due date will fall on the next business day, pursuant to Securities Exchange Act of 1934 Rule 0-3(a).

Form 13H-Q or Form 13H-A (combo) Due (12/31) 1/10

Form 10-Q Due (12/31) 2/9 2/9 2/14

Late Form 10-Q Due (12/31) 2/14 2/14 2/21

Form 5 Due for FYE 12/31; Form 13F, 2/14Form 13H-A and Schedule 13G Due for Calendar Year End 12/31

Form 10-K Due for FYE 12/31 3/1 3/16 3/31

Late Form 10-K Due for FYE 12/31 3/16 3/31 4/17

Form 11-K (not subj. to ERISA) 3/31Due for FYE 12/31

Late Form 11-K (not subj. to ERISA) 4/17 Due for FYE 12/31

Form 13H-Q Due (3/31) 4/10

Form 20-F Due for FYE 12/31 5/1

Late Form 20-F Due for FYE 12/31 5/16

Form 10-Q Due (3/31) 5/10 5/10 5/15

Late Form 10-Q Due (3/31) 5/15 5/15 5/22

Form 5 Due for FYE 3/31, Form 13F 5/15Due for Calendar Quarter End 3/31

Form SD for Conflict Minerals Issuers 5/31

Form 10-K Due for FYE 3/31 5/30 6/14 6/29


Form 11-K (subj. to ERISA) 6/29Due for FYE 12/31

Late Form 11-K (subj. to ERISA) 7/14 Due for FYE 12/31

Form 13H-Q Due (6/30) 7/10

Form 10-Q Due (6/30) 8/9 8/9 8/14

Late Form 10-Q (6/30) 8/14 8/14 8/21

Form 5 Due for FYE 6/30 8/14Form 13F Due for Calendar Quarter End 6/30

Form 10-K Due for FYE 6/30 8/29 9/13 9/28


Form 11-K (not subj. to ERISA) 9/28Due for FYE 6/30

Late Form 11-K (not subj. to ERISA) 10/13 Due for FYE 6/30

Form 13H-Q Due (9/30) 10/10

Form 20-F Due for FYE 6/30 10/31

Late Form 20-F Due for FYE 6/30 11/15

Form 10-Q Due (9/30) 11/9 11/9 11/14

Late Form 10-Q Due (9/30) 11/14 11/14 11/20

Form 5 Due for FYE 9/30 11/14Form 13F Due for Calendar Quarter End 9/30

Form 10-K Due for FYE 9/30 11/29 12/14 12/29

Late Form 10-K Due for FYE 9/30 12/14 12/29 1/16/18

Form 11-K (subj. to ERISA) Due for FYE 6/30 12/27

Late Form 11-K (subj. to ERISA) 1/11/18 Due for FYE 6/30

This information was not prepared by persons licensed to practice legal or professional investment advice in any jurisdiction. We are not engaged in rendering legal or other professional advice, and this information is not a substitute for the advice of an attorney or

professional investment adviser. If you require legal or other expert advice, you should seek the services of an attorney or other professional.

LAF - LARGE ACCELERATED FILERS

AF - ACCELERATED FILERS

NAF - NON-ACCELERATED FILERS

APC/INT’L - ALL PUBLIC COMPANIES or INT’L FILERS

LAF - LARGE ACCELERATED FILERS Form 10-K 60 calendar days after fiscal year endForm 10-Q 40 calendar days after fiscal quarter end

AF - ACCELERATED FILERSForm 10-K 75 calendar days after fiscal year endForm 10-Q 40 calendar days after fiscal quarter end

NAF - NON-ACCELERATED FILERSForm 10-K 90 calendar days after fiscal year endForm 10-Q 45 calendar days after fiscal quarter end

INT’L - INTERNATIONAL FILERS - FOREIGN PRIVATE ISSUERSForm 20-F within four months of fiscal year endForm 40-F Due for Canadian issuers on the same date the issuers’ annual report is due

to file in Canada

APC - ALL PUBLIC COMPANIES - ADDITIONAL EDGAR FILING DATESForm 3 10 days after individual becomes a reporting personForm 4 2nd business day after a company insider trades registered securities in the companyForm 5 45 calendar days after issuer’s fiscal year endForm 13H-Q 10 days after calendar quarter endForm 13H-A (combo) Combined Q4/Annual Report due 10 days after calendar year endForm 13H-A 45 days after calendar year endForm SD for Conflict Minerals Issuers Due annually on May 31

Notice & Proxy (DEF 14A) If Part III of your 10-K incorporates information from your proxy statement, you are required to file the proxy statement no later than 120 days after the fiscal year end. If you are unable to file within the 120 day limit for the proxy statement expressly indicated in your 10-K, file an amended 10-K to include the Part III information. This amended 10-K must be filed no later than 120 days after the fiscal year end.Schedule 13D 10 days after the acquisition of more than 5% beneficial ownershipForm 13F 45 days after calendar year end and 45 days after each of the first three calendar quartersSchedule 13G 45 days after calendar year endForm 11-K (not subject to ERISA) 90 days after fiscal year endForm 11-K (subject to ERISA) 180 days after fiscal year endNT Filings (Form 12b-25) Due no later than one business day after the original filing deadline Late 10-K, Late 11-K, Late 20-F Up to 15 calendar days of original filing deadlineLate 10-Q Up to 5 calendar days of original filing deadlineFILING EXTENSIONSCompanies may request more time to file Forms 10-Q, 10-K, 11-K and 20-F by filing for an extension with Form 12b-25 via EDGAR. In filing this form, a filer may gain up to 5 additional days to file Form 10-Q or 15 additional days to file Forms 10-K, 11-K and 20-F. The Form 12b-25 should be filed by 5:30 p.m. Eastern Time the next business day after the original filing deadline. Note: Form 12b-25 cannot be used solely to request an extension to submit XBRL filings.SEC HOURS OF OPERATIONThe hours of operation for transmitting submissions to the SEC’s EDGAR system are 6:00 a.m. to 10:00 p.m. Eastern Time, weekdays, excluding U.S. Federal Holidays. Filings submitted after 5:30 p.m. Eastern Time, with the exception of Form 13H, Section 16 filings, Correspondence and filings pursuant to Rule 462(b), will receive the next business day’s filing date.

2017 FEDERAL HOLIDAYS

GENERAL FILING DEADLINES

2017SEC Filing Dates

JANUARY 2017DECEMBER 2016

SU M T W TH F SA

01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31

FEBRUARY 2017

SU M T W TH F SA

01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28

SUNDAY MONDAY TUESDAY WEDNESDAY THURSDAY FRIDAY SATURDAY

1 2 3 4 5 6 7

8 9 10 11 12 13 14

15 16 17 18 19 20 21

22 23 24 25 26 27 28

29 30 31

Martin Luther King, Jr. Day Inauguration Day

New Year’s Day New Year’s Day (Observed)

SEC Closed Check Business News for US Market Openings

SEC Closed US Markets Closed

APC: Form 13H-Q, Form 13H-A (combo) Due

APC: Late Form 11-K (Subj. to ERISA) Due for FYE 6/30/16

NAF: Late Form 10-K Due for FYE 9/30/16

FEBRUARY 2017JANUARY 2017

SU M T W TH F SA

01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31

MARCH 2017

SU M T W TH F SA

01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31


1 2 3 4

5 6 7 8 9 10 11

12 13 14 15 16 17 18

19 20 21 22 23 24 25

26 27 28

Groundhog Day

Valentine’s Day

Presidents’ Day/ Washington’s Birthday


LAF & AF: Form 10-Q Due

LAF & AF: Late Form 10-Q Due

LAF & AF: NT 10-Q Due

NAF: NT 10-Q DueNAF: Form 10-Q DueAPC: Form 5 Due for FYE 12/31; Form 13F, Form 13H-A, and Schedule 13G Due for Calendar Year End

NAF: Late Form 10-Q Due

MARCH 2017FEBRUARY 2017

SU M T W TH F SA

01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28

APRIL 2017

SU M T W TH F SA

01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 16 17 18 19 20 21 22 23/30 24 25 26 27 28 29


1 2 3 4

5 6 7 8 9 10 11

12 13 14 15 16 17 18

19 20 21 22 23 24 25

26 27 28 29 30 31

Ash Wednesday

St. Patrick’s Day

First Day of Spring

Daylight Saving Time Begins

AF: NT 10-K Due for FYE 12/31

LAF: Late Form 10-K Due for FYE 12/31

AF: Form 10-K Due for FYE 12/31

LAF: NT 10-K Due for FYE 12/31LAF: Form 10-K Due for FYE 12/31

NAF: Form 10-K Due for FYE 12/31

APC: Form 11-K (Not Subj. to ERISA) Due for FYE 12/31

AF: Late Form 10-K Due for FYE 12/31

APRIL 2017MARCH 2017

SU M T W TH F SA

01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31

MAY 2017

SU M T W TH F SA

01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31


1

2 3 4 5 6 7 8

9 10 11 12 13 14 15

16 17 18 19 20 21 22

23 24 25 26 27 28 29

30

Administrative Professionals Day

Passover Ends at Nightfall

Passover Begins at SunsetPalm Sunday

Easter

April Fool’s Day

Earth Day

Good Friday

SEC Open US Markets Closed

NAF: Late Form 10-K Due for FYE 12/31APC: Late Form 11-K (Not Subj. to ERISA) Due for FYE 12/31

APC: Form 13H-Q Due

NAF: NT 10-K Due for FYE 12/31

APC: NT Form 11-K (Not Subj. to ERISA) Due for FYE 12/31

MAY 2017APRIL 2017

SU M T W TH F SA

01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 16 17 18 19 20 21 22 23/30 24 25 26 27 28 29

JUNE 2017

SU M T W TH F SA

01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30


1 2 3 4 5 6

7 8 9 10 11 12 13

14 15 16 17 18 19 20

21 22 23 24 25 26 27

28 29 30 31Memorial Day

Mother’s Day Armed Forces Day

Ramadan Begins at Sunset

Cinco de Mayo


INT’L: NT 20-F Due for FYE 12/31



NAF: Form 10-Q Due



NAF: NT 10-Q Due

APC: Form 5 Due for FYE 3/31, Form 13F Due for Calendar Quarter End

INT’L: Late Form 20-F Due for FYE 12/31

INT’L: Form 20-F Due for FYE 12/31

APC: Form SD for Conflict Minerals Issuers DueLAF: NT 10-K Due for FYE 3/31LAF: Form 10-K Due for FYE 3/31

JUNE 2017MAY 2017

SU M T W TH F SA

01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31

JULY 2017

SU M T W TH F SA

01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 16 17 18 19 20 21 22 23/30 24/31 26 26 27 28 29


1 2 3

4 5 6 7 8 9 10

11 12 13 14 15 16 17

18 19 20 21 22 23 24

25 26 27 28 29 30

Flag Day

First Day of SummerFather’s Day

Ramadan Ends


AF: NT 10-K Due for FYE 3/31AF: Form 10-K Due for FYE 3/31


APC: Form 11-K (Subj. to ERISA) Due for FYE 12/31



APC: NT Form 11-K (Subj. to ERISA) Due for FYE 12/31

JULY 2017 JUNE 2017

SU M T W TH F SA

01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30

AUGUST 2017

SU M T W TH F SA

01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31


1

2 3 4 5 6 7 8

9 10 11 12 13 14 15

16 17 18 19 20 21 22

23 24 25 26 27 28 29

30 31

Independence Day


NAF: Late Form 10-K Due for FYE 3/31

APC: Form 13H-Q Due APC: Late Form 11-K (Subj. to ERISA) Due for FYE 12/31

AUGUST 2017JULY 2017

SU M T W TH F SA

01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 16 17 18 19 20 21 22 23/30 24/31 25 26 27 28 29

SEPTEMBER 2017

SU M T W TH F SA

01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30


1 2 3 4 5

6 7 8 9 10 11 12

13 14 15 16 17 18 19

20 21 22 23 24 25 26

27 28 29 30 31

LAF: Form 10-K Due for FYE 6/30 LAF: NT 10-K Due for FYE 6/30



NAF: Form 10-Q Due



NAF: NT 10-Q Due


SEPTEMBER 2017AUGUST 2017

SU M T W TH F SA

01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31

OCTOBER 2017

SU M T W TH F SA

01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31


1 2

3 4 5 6 7 8 9

10 11 12 13 14 15 16

17 18 19 20 21 22 23

24 25 26 27 28 29 30

Rosh Hashanah Begins at Sunset

Labor Day

Patriot Day

Yom Kippur Ends at Nightfall

First Day of Autumn

Rosh Hashanah Ends at Nightfall

Yom Kippur Begins at Sunset






APC: NT Form 11-K (Not Subj. to ERISA) Due for FYE 6/30


APC: Form 11-K (Not Subj. to ERISA) Due for FYE 6/30


OCTOBER 2017SEPTEMBER 2017

SU M T W TH F SA

01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30

NOVEMBER 2017

SU M T W TH F SA

01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30


1 2 3 4 5 6 7

8 9 10 11 12 13 14

15 16 17 18 19 20 21

22 23 24 25 26 27 28

29 30 31 Halloween

Columbus Day

SEC Closed US Markets Open

NAF: Late Form 10-K Due for FYE 6/30APC: Late Form 11-K (Not Subj. to ERISA) Due for FYE 6/30

APC: Form 13H-Q Due

INT’L: Form 20-F Due for FYE 6/30

NOVEMBER 2017OCTOBER 2017

SU M T W TH F SA

01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31

DECEMBER 2017

SU M T W TH F SA

01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24/31 25 26 27 28 29 30


1 2 3 4

5 6 7 8 9 10 11

12 13 14 15 16 17 18

19 20 21 22 23 24 25

26 27 28 29 30

Thanksgiving Day

Veterans Day (Observed)

Daylight Saving Time Ends Veterans Day

SEC Closed US Markets Open



INT’L: NT 20-F Due for FYE 6/30

LAF & AF: NT 10-Q Due LAF & AF: Late Form 10-Q Due

NAF: Form 10-Q Due



NAF: NT 10-Q Due

LAF: Form 10-K Due for FYE 9/30 LAF: NT 10-K Due for FYE 9/30

INT’L: Late Form 20-F Due for FYE 6/30

DECEMBER 2017NOVEMBER 2017

SU M T W TH F SA

01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30

JANUARY 2018

SU M T W TH F SA

01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31


1 2

3 4 5 6 7 8 9

10 11 12 13 14 15 16

17 18 19 20 21 22 23

24 25 26 27 28 29 30

31 New Year’s Eve

Pearl Harbor Remembrance Day

Hanukkah Begins at Sunset

Hanukkah Ends at Nightfall First Day of Winter

First Day of KwanzaaChristmas Eve Christmas Day


APC: Form 11-K (Subj. to ERISA) Due for FYE 6/30

AF: Late Form 10-K Due FYE 9/30


APC: NT Form 11-K (Subj. to ERISA) Due for FYE 6/30




JANUARY 2018DECEMBER 2017

SU M T W TH F SA

01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24/31 25 26 27 28 29 30

FEBRUARY 2018

SU M T W TH F SA

01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28


1 2 3 4 5 6

7 8 9 10 11 12 13

14 15 16 17 18 19 20

21 22 23 24 25 26 27

28 29 30 31

Martin Luther King, Jr. Day

New Year’s Day

Kwanzaa Ends

SEC Closed Check Business News for US Market Closings


APC: Late Form 11-K (Subj. to ERISA) Due for FYE 6/30/17

APC: Form 13H-Q, Form 13H-A (combo) Due

NAF: Late Form 10-K Due for FYE 9/30/17

NAF: NT 10-K Due for FYE 9/30/17

This information was not prepared by persons licensed to practice legal or professional investment advice in any jurisdiction. We are not engaged in rendering legal or other professional advice and this information is not a substitute for the advice of an attorney or professional investment adviser. If you require legal or other expert advice, you should seek the services of an attorney or other professional.

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dfsco usa 2017 sec calendar 20161110

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