When it comes to investing in publicly traded companies, it's important to have a clear understanding of the information that's available to you. One of the key sources of information for investors is the Securities and Exchange Commission (SEC) filings. These documents provide a wealth of information about a company's financial performance, management, and ownership structure. In this article, we'll take a closer look at what SEC filings are, the different types of SEC filings available, and how you can access them.
What are SEC Filings?
SEC filings are documents that publicly traded companies are required to file with the SEC. These documents contain information about a company's financial performance, management, and ownership structure. They are intended to provide investors with a clear and accurate picture of a company's operations and financial condition.
The SEC is responsible for protecting investors and maintaining the integrity of the securities markets. One of the ways it does this is by requiring publicly traded companies to disclose certain information to the public through SEC filings. This information is intended to help investors make informed decisions about whether to buy, sell, or hold a company's securities.
Types of SEC Filings
There are several different types of SEC filings that companies are required to make. Some of the most important ones include:
Form 10-K: Annual report
Form 10-K is the annual report that provides a detailed look at a company's financial performance over the past year. This includes information on revenue, expenses, and net income. It also provides information on a company's assets, liabilities, and shareholders' equity. Form 10-K also includes a discussion of the company's business, its management, and its prospects for the future.
Form 10-Q: Quarterly report
Form 10-Q is the quarterly report that provides a snapshot of a company's financial performance for the quarter. This includes information on revenue, expenses, and net income. It also provides information on a company's assets, liabilities, and shareholders' equity. Form 10-Q also includes a discussion of any significant events that occurred during the quarter and their impact on the company's financial performance.
Form 8-K: Current report
Form 8-K is the current report that provides information on significant events that have occurred since the last annual or quarterly report was filed. This includes information on major events such as changes in management, acquisitions or dispositions of assets, and bankruptcy or receivership.
Form 13F: Holdings report
Form 13F is the holdings report that institutional investment managers are required to file with the SEC. It provides information on the institutional investment manager's holdings of certain equity securities. The form is filed quarterly and contains information on the name of the issuer, the title of the security, the value of the holdings, and the number of shares held.
Form 4: Insider transaction report
Form 4 is the insider transaction report that provides information on transactions made by company insiders such as directors, officers, and major shareholders. The form is filed within two business days of the transaction and contains information on the type of transaction, the number of shares involved, and the price of the shares.
How to Access SEC Filings
Investors can track these SEC filings on RADiENT. RADiENT also cross-references these filings, to ease the process of due diligence