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John Esch Library | Lakeland University | W3718 South Drive | Plymouth, WI 53073 | (920) 565-1038 ext. 2420
SEC Filings Overview
Public companies are required to file documents with the Securities and Exchange Commission (SEC). Here is a brief summary of some of the documents:
- 10-K - annual report filed 90 days after a company's fiscal end. Includes financial statements, properties owned, legal proceedings, description of business and directors and executive officers. Provides Management's Discussion with statements about plans, beliefs and estimates. Check date. 10-Q may be more current. The 10-K is not the same as the glossy annual reports distributed by companies as a marketing tool to attract investors.
- 10-Q - quarterly report filed within 45 days of a quarters end. (3 per year) Not as extensive as 10-K.
- 20-F - annual report filed by foreign issuers similar to 10-K. Must be filed 6 months after end of company's fiscal year.
- 8-K - reports on unexpected events and corporate changes that would be important to investors or the SEC. Time frame for filing is within 8 days of event or change.
Locating SEC Filings
SEC Filings can be found in:
To locate SEC filings, retrieve company report using the Get Company Info search box. Link to SEC Filings will appear in contents listed on left.
U.S. Securities and Exchange Commission's free access to over 20 million filings. Includes guide, How to Research Public Companies.
SEC Filings may also be posted on the company website under headings such as Investors or Investor Relations.
Image: geralt. CC0 1.0.
Financial Data for Investors
Financial information for new and experienced investors. Includes industry reports, company reports and analyst commentaries. Click on "Dashboard". "Quick Links" section on right indicates Items (in blue) that are available to Lakeland researchers.
Websites with Financial Data
Free site covering markets, news, portfolios, stock screener and domestic trends.
Free site offering company profiles, My Portfolio, Market Data, Yahoo Originals including Aaron Task, business news, personal finance and CNBC.