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Investing concepts made simple.
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Understanding SEC Filings

What Are SEC Filings?
Public companies, corporate insiders and broker-dealers are required to file financial statements, registration statements, announcements of material changes, periodic updates and other documents with the U.S. Securities and Exchange Commission (SEC).

Where to Find SEC filings?
You can find these filings on the SEC’s Electronic Data Gathering, Analysis, and Retrieval system (EDGAR) database.

You can also find SEC Filings right here on tickrz—no searching required! Just click the “filings” link on each stock’s tickrz report. For example, check out Apple’s SEC filings.

Key SEC Filings

10-K Report/Annual Report
If you’re looking for a comprehensive overview of a company, this is the place to start. Part 1 of the 10-K provides a description of the company’s business strategy, products and services, competition, risks facing the company, and outstanding legal issues.

Part 2 is where key numbers come into focus. Here the company provides an overview of key financial data, discusses the financial condition of the company, and presents the latest audited financial statements in full.

10-Q Report/Quarterly Report
Like the 10-K, the 10-Q provides an overview of key financial metrics and a discussion of the company’s key business activities—but not in as much detail. The purpose of the 10-Q is to give investors an update on how the business is doing throughout the year. Note that none of the financial statements presented in the 10-Q are audited.

8-K
Major developments that occur between quarters are presented in 8-K filings.

Form 3, 4, 5
Changes in ownership by the company’s officers and directors are disclosed via Forms 3, 4 and 5. Form 4 is the key Form to pay attention to—watch for large dispositions or acquisitions by key members of the management team.

Schedule 13D/13F/13H
Any entity that purchases 5% or more of any class of a company’s stock must file a Schedule 13D with the SEC. Here you can review who owns the company’s stock. Any notable gurus? Does the Founder or any Officer own more than 5%? Watch for changes, too. Should the owner materially change their position they need to update the Schedule 13D filing.

Examine 13F and 13H filings to see reported holdings by large investors and institutional managers.

Understanding SEC Filings

What Are SEC Filings?
Public companies, corporate insiders and broker-dealers are required to file financial statements, registration statements, announcements of material changes, periodic updates and other documents with the U.S. Securities and Exchange Commission (SEC).

Where to Find SEC filings?
You can find these filings on the SEC’s Electronic Data Gathering, Analysis, and Retrieval system (EDGAR) database.

You can also find SEC Filings right here on tickrz—no searching required! Just click the “filings” link on each stock’s tickrz report. For example, check out Apple’s SEC filings.

Key SEC Filings

10-K Report/Annual Report
If you’re looking for a comprehensive overview of a company, this is the place to start. Part 1 of the 10-K provides a description of the company’s business strategy, products and services, competition, risks facing the company, and outstanding legal issues.

Part 2 is where key numbers come into focus. Here the company provides an overview of key financial data, discusses the financial condition of the company, and presents the latest audited financial statements in full.

10-Q Report/Quarterly Report
Like the 10-K, the 10-Q provides an overview of key financial metrics and a discussion of the company’s key business activities—but not in as much detail. The purpose of the 10-Q is to give investors an update on how the business is doing throughout the year. Note that none of the financial statements presented in the 10-Q are audited.

8-K
Major developments that occur between quarters are presented in 8-K filings.

Form 3, 4, 5
Changes in ownership by the company’s officers and directors are disclosed via Forms 3, 4 and 5. Form 4 is the key Form to pay attention to—watch for large dispositions or acquisitions by key members of the management team.

Schedule 13D/13F/13H
Any entity that purchases 5% or more of any class of a company’s stock must file a Schedule 13D with the SEC. Here you can review who owns the company’s stock. Any notable gurus? Does the Founder or any Officer own more than 5%? Watch for changes, too. Should the owner materially change their position they need to update the Schedule 13D filing.

Examine 13F and 13H filings to see reported holdings by large investors and institutional managers.