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SEC & Annual Reports: SEC Form Key

Databases and websites that provide access to financial documents that public companies file with the Securities and Exchange Commission.

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
Business

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

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Walker Management *Library
Contact:
Walker Management Library
Owen Graduate School of Management
401 21st. Avenue South
Nashville, TN 37203
Website