All filings made with the SEC constitute public information and can be found on:
* The SEC’s official web site (http://www.sec.gov)
* Company web sites, investor relations section
* Electronic Data Gathering, Analysis, and Retrieval (EDGAR) web site (http://
Form 10-K (Annual Filing)
At the end of each fiscal year, publicly traded companies must file a 10-K report,
which includes a thorough overview of their businesses and finances as well as their
Why Is the 10-K Important?
Companies are required by the SEC to file it annually. Form 10-K usually provides
the most detailed overview of companies’ financial operations and regulations governing
Other Important Filings:
An 8-K is a required filing any time a company undergoes or announces a materially
significant event such as an acquisition, a disposal of assets, bankruptcy, and so
An S-1 registration is filed by a company when it decides to go public (i.e., sell its
securities to the public for the first time) in the process known as an Initial Public
Form 14A is a required annual filing prior to a company’s annual shareholder meetings.
It contains detailed information about top officers and their compensations.
The form often solicits shareholder votes (proxies) for Board nominees and other
Form 20-F is an annual report filed by foreign companies whose shares trade in the