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Business: Finance & Investment: Annual Reports/SEC Documents

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 Filings

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