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Accounting, Auditing & Taxation

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SEC Filing Types

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• DEF 14A- Proxy Statement (Board of Directors appointments, changes, etc)

10-K Annual Report to the SEC

•  10-KA Amended Annual Report

•  10-Q Quarterly Report

•  8-K Changes report that could affect the financial health of the company

•  6-K Non-US companies listed on one of the US stock exchanges report similar to 8-K

•  20-F Non-US company annual report to SEC

•  13-D Insider shares traded by board

•  13-FE Institutional Holders' trades

•  14-D1 Tender offer or Acquisition of another company

•  14-D9 Response to tender offer

•  S-1 New Issue Filing, often known as the Prospectus for an Initial Public Offering (IPO)

•  Form SB-Small Business IPO

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SEC Filing Searches

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Databases for SEC filings

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  • Mergent Online

    Corporate profiles, downloadable financial data, stock prices, and annual reports for U.S. and international corporations. Mergent Horizon is now included in Mergent Online. Limited to 20 simultaneous users.

  • Mergent WebReports (1909 to present)

    Provides corporate profiles and summary historical financial data for public companies. Based on Moody's Manuals.

  • WRDS Analytics Suite

    A registration of an account with the Haslam College of  Business is required to access WRDS.

  • For the following databases, contact the Haslam College of Business:

  • SNL Financial

  • Bloomberg

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SEC Edgar

  • The SEC's free database of corporate filings.

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401K 

401K Fund Asset Allocation

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EBRI's 401K Research

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Financial Data/Annual Reports/SEC Doc.

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Both annual shareholder reports, 10K's and other SEC filings for the current and for prior years are available via the databases below. In addition, annual shareholder reports for the current year can usually be found on a company's web site.  Current SEC financial disclosure filings, such as the annual 10K report, may also be available on the company web site.

  • EDGAR

    From the SEC official web site, contains a full collection all SEC filings from 1995 forward.

  • Historical Annual Reports, 10K's and Proxy Statements

    An historical collection of these documents is available on microfiche in the Library Storage. Annual reports begin in 1966, 10K's in 1974 and proxies in 1978. This microfiche collection ends in 1997.

  • ProQuest Historical Annual Reports

    Annual reports (1844-2008) available for over 800 companies, 43,000 reports, 1.3M pages. Searchable puff images with indexed data such as: financial, Fortune 500 ranking, industry classification, key people, geographic location, auditor, and related companies. It can also be browsed by company name, related names, industry, or date.

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Financial data is available for public corporations only, not for privately held companies or for subsidiaries.

  • Mergent Online

    For U.S. and international corporations, has downloadable annual and quarterly balance sheet and other financial data for 3-15 years. Data available as reported, standardized, or restated.

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  • Morningstar Investment Research Center

    Search for company, then select Financials on the left menu for 10 years of annual data. Covers both U.S. and international corporations. Limited to 2 simultaneous users.

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  • NetAdvantage

    Summary financial data for U.S. public corporations. Usually covers 8-10 years.

    more...

  • Factiva

    From the green menu bar on the upper left of the database screen, choose Companies/Markets, then Company and search for a company name or ticker. Includes both U.S. and international corporations. Limited to 3 simultaneous users.

  • Value Line

  • Choose Lookup Company from left menu bar. Provides summary data for 10-15 years for about 1600 U.S. corporations.

  • Mergent Archives

  • Brief summary financials for U.S. and international corporations. Reports cover from 1909 to 2006.

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