The most useful forms to examine when researching US listed companies:
10-K: A yearly report that provides a comprehensive financial overview of a firm’s business. Contains more detail than the Annual Report to Shareholders that firms are also required to prepare.
10-Q: An unaudited quarterly financial update that must be filed within 45 days of the conclusion of the most recent quarter.
8-K: Reports events such as a senior management change or major strategic shifts such as a mergers and acquisitions.
DEF-14A: This is the definitive proxy statement that provides the date and agenda items for the company’s next annual meeting. Proxy statements may also provide the names of major shareholders, executive and director pay, director biographies, and any shareholder matters that may be up for a vote.
S-1: This is the Registration Statement filed when a company raises funds for any reason, whether to repay debt or buy another firm. The S-1 details how much money was raised and for what purpose.
Forms 3 & 4: These filings are the means by which company insiders (usually officers and directors) report sales or purchases of the firm’s stock. These reports inform the investors of personal transactions that may reflect the insiders’ assessment of the company’s prospects. Form 3 is an initial filing and Form 4 reflects changes in the holding.
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