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MGMT 4842: Strategic Management: SEC Filings

SEC Filings

The EDGAR database at the Securities & Exchange Commission website contains a wealth of data produced by the companies themselves.  Companies that meet certain criteria must make these filings at regular intervals.  For example, the annual 10-K report must be filed by publicly-held US companies that have more than 500 investors and more than $10 million in total assets.  Foreign companies that sell ADRs in the US must file a similar report, called a 20-F.  The schedule DEF 14A (proxy statement) contains unique information, including the composition of the board of directors, their compensation, reports of committees, and total executive compensation and insider ownership of stock.  Other important filings include the S-1 (registration statement), 10-Q (quarterly report), and 8-K (current report).  SEC filings are often used as the source of information found in databases that provide company profiles and financial data.  It's good to remember that the SEC filings are the original source for much of this data, and that they are free!