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BUS477: Strategic Management - Rothberg F22: Firm Analysis

Overview of SEC Documents

What is in a 10K?

10-Ks are annual documents filed per requirements of the Securities and Exchange Commission (SEC).  10-Ks include:

  • Business Description (very detailed)
  • Risk Factors
  • Properties
  • Legal Proceedings
  • Management Discussion and Analysis of Financial Conditions & Results of Operations
  • Financial Statements and Supplementary Data
  • Directors, Executive Officers and Corporate Governance
  • Executive Compensation

eStatement Studies

The Risk Management Association eStatement Studies is a database of financial data collected from member firms. It is an excellent way to benchmark a firm’s performance against an industry’s financial performance. The report contains balance sheet, income statement, and ratio analyses. The reports are used by financial, banking, and business professionals.

The 20-F

Accessing 10-K Financials in Spreadsheet Format

Standard & Poor's NetAdvantage provides 10-K information in various formats.  The financials included in the 10-K are available in spreadsheet format.

  1. Type in the name of the company in the main search box.
  2. On the left side menu go to the "Financials / Valuations" setion and click on "Key Stats"
  3. A tabbed spreadsheet will be displayed.
  4. The entire spreadsheet can be downloaded or just a single tab.

Accessing Full 10-K Document

S &P NetAdvantage provides the 10-K in HTML,Excel, Word and PDF formats.  To access the full 10-K:

  1. Type in the name of the company in the main search box.
  2. On the left side menu, select "News, Events, Filings"
  3. Click on the menu option "SEC Filings"
  4. Click on the preferred format for the most recent 10-K.