EDGAR at SEC.gov

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The SEC and EDGAR

1 of 3The purpose of the SEC's EDGAR database is the collection and dissemination of financial information from public companies.

"The mission of the Securities and Exchange Commission (SEC or Commission) is to administer and enforce the federal securities laws in order to protect investors and to maintain fair, honest and efficient markets."- SEC.gov

       

The SEC and EDGAR

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The EDGAR database allows users to search for all forms that public corporations may be required to submit.

            

A complete list of forms can be found from on the SEC's website or on Wikipedia.

 

The SEC and EDGAR

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This tutorial will focus on finding the following reports:

  • 10K - Annual report pursuant to section 13 and 15(d).  These are the required yearly financial reports.
  • 8K - Interim report which announces any material events or corporate changes that occur between 10-Q quarterly reports.  

 

Basic Search

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Your Turn:

  • Locate the EDGAR Search Tools menu on the left side of the page.
  • Click on Company Filings

                           

Basic Search

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  • Enter Stryker Corp in the Company Name field
  • Click Search

Note:  If you just enter "Stryker" you will have about a dozen different options to choose from.

Basic Search

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The search should direct you to the company page for Stryker Corp.

On this page you should see the following:

  • Company Address
  • A brief description of the business 
  • The SIC code
  • A list of the company's filings

           

Basic Search

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At the top of the page under STRYKER CORP, locate the SIC number

What is the SIC code listed for Stryker Corporation?

Search by Ticker Symbol

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Navigate back to the Search page by clicking Company Search at the top of the page.

 

 

Search by Ticker Symbol

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Your Turn:

  • Locate the field for Company Name
  • Enter Goodrich Corporation in the Company Name field
  • Click Search

          


Search by Ticker Symbol

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How many results do you get when you search for Goodrich Corporation by Company Name?

Search by Ticker Symbol

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Navigate back to the Search page by clicking Company Search at the top of the page.

 

Search by Ticker Symbol

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One of the most effective ways to search is by the company's ticker symbol or CIK.

Let's see what happens when you try searching for the Goodrich Corporation by ticker symbol or CIK instead of by company name.

              

 

Search by Ticker Symbol

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Your Turn:

  • To Search by CIK or Ticker Symbol look for the search field under Fast Search.
  • Enter GR (the CIK for Goodrich Corporation) into the search field
  • Click Search

                

Search by Ticker Symbol

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Using the information on the page for Goodrich Corporation, answer the following question.

What city is Goodrich Corporation's headquarters located in according to the SEC?

 

Find a Report

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Navigate back to the Search page by clicking Company Search at the top of the page.



Find a Report

2 of 6Your Turn:
  • Use the Fast Search to search for Ocean Power Technologies, Inc. using the CIK or ticker symbol OPTT.
  • Click Search.

          

Find a Report

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  • To begin with we will search for a 10-K annual report.
  • Below the general company information, address & SIC code, you will find the list of the latest 40 filings with the SEC.  
  • Scroll down until you find the 10-K dated 2017-07-14.
  • For this example click the button that reads Interactive Data

 

Find a Report

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How do you read an annual or quarterly report?

  • Open the ebook 'The Portable MBA'
  • Read "A Step by Step Guide Reading Annual Reports" (Pages 13-20)

 

                

Find a Report

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Open the 'Financial Statements' option and then select 'Consolidated Balance Sheets.'  

Did the cash or cash equivalents increase in 2017 compared to 2016?

 

Find a Report

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As of April, 2017, what were the accounts receivable?


Advance Filings Search

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Now we will try some of the advance searching features. To begin, return to the search page and search by the ticker symbol - SR.

Advance Filings Search

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What is the name of the company with the ticker, 'SR'?

Advance Filings Search

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We will Search for 8-k reports (what is an 8-K report?) prior to January 1, 2010.

Your Turn:

  • Enter 8-k in the 'Filing Type' box.
  • Enter the date in the "Prior to: (YYYYMMDD)" box (Make sure to get the date correct, it should be entered as 20100101).
  • Click Search.

 

 

Advance Filings Search

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  • Find the form dated 2009-10-05 and open the link called, 'Documents'. This will bring you to the Filing Detail page.  
  • Look for the link in the Document column.
  • Click the link and open the document.

 

 

Advance Filings Search

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What does is the focus of the 8-k from October 5, 2009 report to the SEC?

 

 

 

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