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OTC & Other Filings

Track SEC filings from OTC-traded companies—smaller companies, foreign stocks, and those that don't meet major exchange requirements.

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Issuers

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Filings

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OTC & Other

Latest Filings

40 items

Featured Issuers

11

About OTC & Other

Over-the-counter (OTC) markets trade stocks not listed on NYSE or NASDAQ. This includes small U.S. companies, foreign stocks trading as ADRs, and companies that lost their major exchange listing. Disclosure quality varies widely.

Lower requirements

OTC companies face minimal listing standards—some file regular SEC reports, others provide little information. The Pink tier has no financial requirements at all.

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OTC & Other Exchange Overview

Lower requirements

OTC companies face minimal listing standards—some file regular SEC reports, others provide little information. The Pink tier has no financial requirements at all.

Higher risk, less transparency

Many OTC companies file late or not at all. Some Pink tier stocks haven't filed financials in years. Do extra research before investing in OTC stocks.

Foreign company access

Major international companies like Roche, Nestlé, and adidas trade OTC as ADRs. These file 20-F annual reports and 6-K updates—often more reliable than small domestic OTC stocks.

Filing characteristics

OTC disclosure quality varies dramatically. OTCQX and OTCQB companies generally file regular SEC reports like exchange-listed peers. Pink tier ranges from current filers to abandoned shells. Watch for S-1 filings (potential exchange uplisting) and Form 15 (companies going dark).

Listing standards

OTCQB requires $0.01 share price and current SEC filings. OTCQX adds $2M assets or $5M revenue requirements. Pink tier has no standards—some companies provide updates, others go silent for years.

Disclosure patterns

Filing patterns vary widely. OTCQX companies file regularly like exchange-listed peers. OTCQB companies file sporadically, often late. Pink tier may go months between filings. Watch for Form D private placements—OTC companies frequently raise capital this way.