SEC Forms & Documents
This table shows what information is included in major SEC forms and documents.
Information included in forms:
. Y = Yes, always (or included by reference)
. O = Often
. S = In special cases only
| Information Included | 10-K | 20-F | 10-Q | 8-K | Proxy Statement | Prospectus | 1934 Act Form 10 | 1933 Act Registration Statement "S" Type |
Shareholder Annual Reports |
| Auditor | – | – | – | – | – | – | – | – | – |
| • Name | Y | Y | S | S | S | Y | Y | Y | Y |
| • Opinion | Y | Y | S | S | – | O | Y | – | Y |
| • Changes | – | – | – | S | S | – | – | – | – |
| Block Stock Movements | S | S | – | S | S | – | Y | – | – |
| Compensation Plans | – | – | – | – | – | – | – | – | – |
| • Equity | O | O | S | – | O | O | Y | O | – |
| • Monetary | O | O | S | – | O | O | Y | O | – |
| Company Information | – | – | – | – | – | – | – | – | – |
• Nature of |
Y | Y | – | – | – | Y | Y | Y | Y |
| • History | O | Y | – | – | S | Y | – | Y | S |
• Organization & Change |
O | O | S | O | S | Y | – | Y | S |
| Debt Structure | Y | Y | – | – | – | Y | Y | Y | Y |
| Depreciation & Other Schedules | Y | Y | – | – | – | Y | Y | Y | – |
| Dilution Factors | Y | Y | – | – | – | Y | Y | Y | Y |
| Directors, Officers, Insiders | – | – | – | – | – | – | – | – | – |
| • Identification | Y | Y | – | S | Y | Y | Y | Y | O |
| • Background | Y | Y | – | – | Y | Y | S | Y | S |
| • Holdings | Y | Y | – | – | Y | Y | Y | Y | – – |
| • Compensation | Y | Y | – | – | Y | Y | Y | Y | – – |
| Earnings Per Share | Y | Y | Y | – | – | Y | Y | – | Y |
| Financial Information | – | – | – | – | – | – | – | – | – |
| • Annual Audited | Y | Y | – | – | – | Y | Y | Y | Y |
| • Interim Audited | – | Y | S | S | S | S | – | S | – |
| • Interim Unaudited | S | S | Y | S | – | O | – | O | – |
| Foreign Operations | Y | Y | – | – | S | S | Y | S | S |
| Labor Contracts | – | S | – | – | S | – | O | O | – |
| Legal Agreements | O | O | – | S | – | – | O | O | – |
| Legal Counsel | – | – | – | S | – | Y | O | Y | – |
| Loan Agreements | O | O | – | S | S | – | O | O | – |
| Plants & Properties | Y | Y | – | – | – | O | Y | O | S |
| Product-Line Breakout | Y | Y | – | – | – | Y | – | Y | O |
| Securities Structure | Y | Y | – | – | – | Y | Y | Y | – |
| Subsidiaries | Y | Y | – | – | S | Y | Y | Y | S |
| Underwriting | – | – | – | S | – | Y | Y | Y | – |
| Unregistered Securities | S | S | – | S | S | O | – | O | – |
Internet Resources & Websites
LIVEDGAR Descriptions of SEC forms and exhibits from LIVEDGAR.
SEC Filings & Forms SEC forms lists and descriptions of forms.
Related Research Guides
Additional Information
- Use of the databases implies acceptance of our Copyright and Licensing Restrictions.
- Need help accessing a resource from off-campus? Take a look at the Troubleshooting Tips page.
- Don't know where to begin? Check out the How do I begin my research? page for information on how to get started researching various topics and use citation information.
- Do you know the name of a database that you'd like to use? Use Databases (A-Z) to locate a known resource and get more information.
- The Databases by Subject page can help direct you to similar resources by topic.
- Additional databases are also available through the Jean & Alexander Heard Library.
- Want to browse electronic journals? Check out the E-Journals (A-Z).
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