Common Public Filings

A public company’s financial statements are filed periodically with the U.S. Securities and Exchange Commission (SEC).  Financial professionals and investors rely on these statements to make informed valuations as a potential investment.

Most Common Public Filings by Corporations

Below is a list of the more common filings a company must submit on a periodic basis.

  • 10-K: This covers the annual performance of a company and is due after the end of the fiscal year. It contains the income statement, balance sheet, cash flow statement, footnotes to the financial statements, management discussion and analysis and an Auditor’s report.
  • 10-Q: This a company’s quarterly performance that is due upon completion of the end of the quarter. This statement is unaudited and includes many of the reports found in the 10-K.
  • 8-K: This is an interim report that is due after any material event or corporate change happens in the quarter.
  • Annual Report: This is pretty much a shortened version of the 10-K with more of a focus placed on the marketing of the company presented in fancy charts and photos.
  • 13D: Notification of a holding of more than 5% of any class of a company’s shares by a single investor or group working in conjunction with each other.
  • 4: Statement of changes in beneficial ownership
  • 5: Annual statement of changes in beneficial ownership
  • 144: Registration document that discloses when insiders buy or sell stock.
  • Proxy Statement: This statement is presented around the time when the annual meeting is held.  t includes management compensation & stock options, Auditor changes, and related-party transactions.

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