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BA 790 Corporate Strategy and Decision Making: Financial Data

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:

SEC Filings may also be posted on the company website under headings such as Investors or Investor Relations.

financial graph with jagged arrow going up denoting ups and downs

Image: geralt. CC0 1.0.

Websites with Financial Data

John Esch Library | Lakeland University | W3718 South Drive | Plymouth, WI 53073 | (920) 565-1038 ext. 2420