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Companies - USA / Global

What's in an MD&A?

What's in a 10-K?
  • Item 1: Business
  • Item 2: Properties
  • Item 3: Legal Proceedings
  • Item 4: Mine Safety Disclosures
  • Item 5: Market for Securities
  • Item 6: Selected Financial Data
  • Item 7: Management Discussion & Analysis (MD&A)
  • Item 7A: Market Risk
  • Item 8: Financial Statements
  • Item 9: Change in Accountants
  • Item 10: Directors & Executive Officers
  • Item 11: Executive Compensation
  • Item 12: Ownership
  • Item 13: Relations & Transactions
  • Item 14: Controls & Procedures
  • Item 15: Exhibits, Schedules, and Reports on Form 8-K
  • Signatures & Certifications

Corporate Annual Reports & Other Filings

Companies Traded in the US

  • The SEC  is the national regulator that public companies must file with.
  • All filings are found in the EDGAR database.
  • Who files:
    • U.S. public parent companies
    • International companies with securities traded in the U.S. must also file (20F)

 Most frequently referenced filings: (Note: Annual Reports are NOT a SEC Filing)

  • 10K = company's annual financials (THE major filing)
  • 20F = annual filing of non U.S. public parent companies trading in the U.S.
  • 10Q = company's unaudited quarterly financials
  • 8K = disclosure of unscheduled significant events
  • DEF 14A (Proxy Statement) = matters voted on at annual shareholders meeting
  • 6-K = filing by foreign issuers  which contains any information that a foreign company issues to its local securities regulators, investors or stock exchange

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