Do you want all of the information or dirt you can find on a company? Look no further than SEC docs.
● 10 K: annual reports
- Description of business, income table, revenue, profits, balance sheet (cash and debt), litigation, proprieties, employees, risk factors, legal proceedings
● 10 Q: quarterly reports.
- Updates on litigation (only important suits listed)
● 8K: special events.
- Resignation of directors, key officers, earnings release, acquisition or sale of business, other key financial news
● DEF-14A: Shareholder Proxy.
- Biographies on board members and corporate officers, executive/ director compensation, key shareholders, related party transactions (conflicts of interest).
- Tip:To find pay, search "summary compensation table." And "non-equity compensation" is code for bonus.
● S-1: Initial public offering.
- When a company is selling stock for the first time. A layout of a company's financials and background.
● Form D: Stock sale by a private firm.
-Private companies report efforts to raise money. Also gives a list of key officers and directors. Useful for: Finding out about new/ hot start-ups.
● Investor Forms:
- 13-F: Filed when mutual funds and large investors discuss holdings.
- 13-D: When someone is holding more than 5 percent of an organization.
