SEC Information Key
Information included in forms:
- Y = Yes, always
- O = Often
- S = In special cases only
SEC Form & Document Explanation
| Information Included | 10-K | 20-F | 10-Q | 8-K | Proxy Statement | Prospectus | 1934 Act Form 10 | 1933 Act Registration Statement "S" Type |
Shareholder Annual Reports |
| Auditor | – | – | – | – | – | – | – | – | – |
| • Name | Y | Y | S | S | S | Y | Y | Y | Y |
| • Opinion | Y | Y | S | S | – | O | Y | – | Y |
| • Changes | – | – | – | S | S | – | – | – | – |
| Block Stock Movements | S | S | – | S | S | – | Y | – | – |
| Compensation Plans | – | – | – | – | – | – | – | – | – |
| • Equity | O | O | S | – | O | O | Y | O | – |
| • Monetary | O | O | S | – | O | O | Y | O | – |
| Company Information | – | – | – | – | – | – | – | – | – |
|
• Nature of |
Y | Y | – | – | – | Y | Y | Y | Y |
| • History | O | Y | – | – | S | Y | – | Y | S |
|
• Organization & Change |
O | O | S | O | S | Y | – | Y | S |
| Debt Structure | Y | Y | – | – | – | Y | Y | Y | Y |
| Depreciation & Other Schedules | Y | Y | – | – | – | Y | Y | Y | – |
| Dilution Factors | Y | Y | – | – | – | Y | Y | Y | Y |
| Directors, Officers, Insiders | – | – | – | – | – | – | – | – | – |
| • Identification | Y | Y | – | S | Y | Y | Y | Y | O |
| • Background | Y | Y | – | – | Y | Y | S | Y | S |
| • Holdings | Y | Y | – | – | Y | Y | Y | Y | – – |
| • Compensation | Y | Y | – | – | Y | Y | Y | Y | – – |
| Earnings Per Share | Y | Y | Y | – | – | Y | Y | – | Y |
| Financial Information | – | – | – | – | – | – | – | – | – |
| • Annual Audited | Y | Y | – | – | – | Y | Y | Y | Y |
| • Interim Audited | – | Y | S | S | S | S | – | S | – |
| • Interim Unaudited | S | S | Y | S | – | O | – | O | – |
| Foreign Operations | Y | Y | – | – | S | S | Y | S | S |
| Labor Contracts | – | S | – | – | S | – | O | O | – |
| Legal Agreements | O | O | – | S | – | – | O | O | – |
| Legal Counsel | – | – | – | S | – | Y | O | Y | – |
| Loan Agreements | O | O | – | S | S | – | O | O | – |
| Plants & Properties | Y | Y | – | – | – | O | Y | O | S |
| Product-Line Breakout | Y | Y | – | – | – | Y | – | Y | O |
| Securities Structure | Y | Y | – | – | – | Y | Y | Y | – |
| Subsidiaries | Y | Y | – | – | S | Y | Y | Y | S |
| Underwriting | – | – | – | S | – | Y | Y | Y | – |
| Unregistered Securities | S | S | – | S | S | O | – | O | – |
Walker Management Library
Walker Management *Library
Contact:
Walker Management Library
Owen Graduate School of Management
401 21st. Avenue South
Nashville, TN 37203
Website
Owen Graduate School of Management
401 21st. Avenue South
Nashville, TN 37203
