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MGMT 425 Strategy & Policy (Cummings)

This research guide was designed for Chailin Cummings's F2020 MGMT 425 Course

Understanding SEC Filings

Public companies are those that sell stock to the general public, and trade that stock on a stock exchange or over-the-counter market. The U.S. government requires publicly traded companies to file financial statements and annual 10-K reports to the Securities & Exchange Commission (SEC). 

There are a number of filings the SEC requires but there are a few that are going to be the most helpful to those looking for what the company does:

  • 10K (annual reports; 10KSB for Small Business Public Companies): This is the financial statement most people are looking for and is an annual filing. Pay particular attention to Item 1, the business description, Item 7, the Management Discussion and Analysis, and the Financial Footnotes. The annual report to shareholders is a separate document but can be "incorporated by reference" into the 10K in some cases.
  • 10Q: This is a quarterly report that is primarily used as an update on the financial information though it can contain other information that is new/important.
  • S-1: This filing is the registration statement when a private company goes public often seen as IPO.
  • 8K: These filings can vary but can be where announcements of mergers, acquisitions, and other material changes can be made.

Finding U.S. Public Company Profiles and Financial Data

To find Company Profiles on Mergent Online follow these steps: 

  • Step 1: Type the company you're looking for in the Company Search box. A dropdown of options will appear. 
  • Step 2: Choose the correct company from the dropdown list. 
  • Step 3: You will be taken to the default tab, Company Details, including a business summary, pricing summary, key executives, and key financials. Browse the tabs to access more detailed information.
  • Step 1: In the upper-right hand corner search box enter a Company name or Ticker to get to a page with numerous panels of information on that company including a Business Overview panel featuring a brief Business Description and Business History.
  • Note: Some panels/sections may be hidden. Hover over the vertical bar to the right to see and click on them to enable viewing them on the Company page.

The Business Source Complete database contains detailed profiles about companies published by MarketLine. To find a MarketLine report on a specific company, follow these steps:

  • Step 1: Type the name of a public company in the first search box.
  • Step 2: Below the search fields, under the Document Type filter menu, click on Company Report.
  • Step 3: Click Search. You will see different results for your corporation. The reports may have the same title but will be from different years.
  • Step 1: Type the company you're looking for in the Company Search box. A dropdown of options will appear. 
  • Step 2: Choose the correct company from the dropdown list.
  • Step 3: You will be taken to the default tab, Company Details. Click on the Reports tab. 
  • Step 4: Click on the report you would like to view. Note: Company Reports selections are in PDF format. In order to view PDF selections, you must have Adobe Acrobat Reader
  • Step 1: In the upper-right hand corner search box enter a Company name or Ticker to get to a page with numerous panels of information on that company.
  • Step 2: Hover over the vertical bar to the right and click on SEC Filings.
  • Step 3: Click on the report you would like to view. 
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