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Annual Reports and Corporate Filings

Sources for finding SEC filings and corporate annual reports

SEC Filings

Companies that issue securities are required to file periodically with the Securities and Exchange Commission. Many types of filings are required, but the most frequently used by investors are

  • 10-K, annual financial statements
  • 10-Q, quarterly financial statements
  • 8-K, news and corporate events that could affect investors
  • Proxy Statements, which are filed as Schedule 14
    Proxy statements include proposals for shareholders to vote on and information about executive compensation

Electronic filing was introduced in 1994. The Library collected filings on microfiche beginning in 1969.

Annual Reports

Annual reports to shareholders are not required by the SEC, but are still issued by most companies. They generally feature a letter from the chief executive officer and a summary of the year's events. Financial results are included, but may not be as extensive as those filed in form 10-K. Annual reports are very good for researching how a company is presenting itself.