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Finance & Investments

This guide includes basic terminology and ways to help you find financial and investment information.

Annual Reports & SEC Documents

Both annual shareholder reports, 10K's and other SEC filings for the current and for prior years are available via the databases below. In addition, annual shareholder reports for the current year can usually be found on a company's web site.  Current SEC financial disclosure filings, such as the annual 10K report, may also be available on the company web site.

Commonly Used SEC Fillings

DEF 14A Proxy Statement (Board of Directors appointments, changes, etc)
10-K Annual Report to the SEC (Required)
10-KA Amended Annual Report
10-Q Quarterly Report
8-K Report on changes that could affect the financial health of the company
6-K Non-US companies listed on a US stock exchanges, similar to 8-K
20-F Non-US company annual report to SEC
13-D Insider shares traded by board
13-FE Institutional Holders' trades
14-D1 Tender offer or acquisition of another company
14-D9 Response to tender offer
S-1 New Issue Filing, aka Prospectus for an IPO (Initial Public Offering)
SB Small Business IPO