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GBA 525

Library resources for GBA 525

Internal Factors

Securities and Exchange Commission
Search for a company's SEC filings.  Relevant filings include:

  • 8-K:  Any time a company has a 'significant event' they must file.  Events can include things like hiring a new director, merger announcement, earnings releases, legal disputes etc.
  • 10-K:  Annual report filed with the SEC.  This contains financial data executive compensation, business activities etc.  Should not be confused with the company's Annual Report to Shareholders (ARS).  The 10-K contains all information - good and bad - with no 'spin' on it.  The ARS is more of a marketing document that will make all events, including negative, appear to have a positive effect on the company.
  • 10-Q:  Quarterly financial reports.
  • DEF 14A:  Proxy filing.  Submitted prior to annual meeting of shareholders, it contains information such as director backgrounds, committee structures, corporate governance and will have executive compensation information if left out of the 10-K.