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Resources for Finance research at WKU

Suggested Resources for Public Company Information

Common U.S. Securities & Exchange Commission Filings

Here is a list of common SEC filings, which can be found in Mergent Online or EDGAR Company Filings:

  • 10-Q Quarterly Report: contains traditional financial statements and footnotes, but it also contains management discussion and analysis (MD&A). The MD&A describes the income statement and statement of cash flows fluctuations
  • 10-K Annual Report: filed at the end of the fourth quarter. The 10-K contains the financial statements and MD&A for that particular year end, but it also contains some expanded disclosures in the various other parts of the document
  • 8-K Changes Report: used to report material events to the shareholders
  • 20-F Annual Report: Non-US company's (listed on one of the U.S. stock exchanges) annual report to SEC
  • S-1 New Issue Filing: often known as the Prospectus for an Initial Public Offering (IPO)

Source: Accounting Today

Business Librarian

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Katherine Howell