Category SEC Reporting

10-K

  • 10-K – Item 5 – Stock Performance Chart

    Every company is required to show its stock performance compared to various indices. We were surprised at the vast number of indices to choose from. It is clear, you can always find an index that your stock can beat. Our database now has 151 different indices.

  • Our Favorite 10-K’s

    Here is a list of 31 great 10-K’s. If you are looking for a good example, use one of these. They are separated into 6 different market cap categories – micro-cap to mega-cap.

  • 10-K – Prelude

    Look for ways to enhance your SEC Form 10-K. This provides Best In Class examples for the Prelude of the 10-K

  • 10-K – Item 1 – Business

    Look for ways to enhance your SEC Form 10-K. This provides Best In Class examples for Item 1 of the 10-K.

  • 10-K – Item 1a – Risk Factors

    Look for ways to enhance your SEC Form 10-K. This provides Best In Class examples for Item 1a of the 10-K.

  • 10-K – Item 1b – Unresolved Items

    Look for ways to enhance your SEC Form 10-K. This provides Best In Class examples for Item 1b of the 10-K.

  • 10-K – Item 2 – Properties

    Look for ways to enhance your SEC Form 10-K. This provides Best In Class examples for Item 2 of the 10-K.

  • 10-K – Item 3 – Legal

    Look for ways to enhance your SEC Form 10-K. This provides Best In Class examples for Item 3 of the 10-K.

  • 10-K – Item 4 – Mine Safety

    Look for ways to enhance your SEC Form 10-K. This provides Best In Class examples for Item 4 of the 10-K – Mine Safety.

  • 10-K – Item 4a – Officers

    Look for ways to enhance your SEC Form 10-K. This provides Best In Class examples for Item 4a of the 10-K.

  • 10-K – Item 5 – Market

    Look for ways to enhance your SEC Form 10-K. This provides Best In Class examples for Item 5 of the 10-K.

  • 10-K – Item 6 – Selected Data

    Look for ways to enhance your SEC Form 10-K. This provides Best In Class examples for Item 6 of the 10-K.

  • 10-K – Item 7 – MD&A

    Look for ways to enhance your SEC Form 10-K. This provides Best In Class examples for Item 7 of the 10-K.

  • 10-K – Item 7a – Market Risk

    Look for ways to enhance your SEC Form 10-K. This provides Best In Class examples for Item 7a of the 10-K.

  • 10-K – Item 8 – Financials

    Look for ways to enhance your SEC Form 10-K. This provides Best In Class examples for Item 8 of the 10-K.

  • 10-K – Item 9 – Accountants

    Look for ways to enhance your SEC Form 10-K. This provides Best In Class examples for Item 9 of the 10-K.

  • 10-K – Item 9a – Controls

    Look for ways to enhance your SEC Form 10-K. This provides Best In Class examples for Item 9a of the 10-K.

  • 10-K – Item 9b – Other

    Look for ways to enhance your SEC Form 10-K. This provides Best In Class examples for Item 9b of the 10-K.

  • 10-K – Item 10-15 – Directors + Misc.

    Look for ways to enhance your SEC Form 10-K. This provides good examples for Items 10-15 of the 10-K.

13-D/F/G

  • Carl Icahn Portfolio – as of 9/30/16

    You ever wonder what Carl Icahn is invested in for his long-term portfolio? Here is the portfolio for Carl Icahn as of 9/30/16 with a comparison to 6/30/16. Interesting.

  • Third Point (Loeb) 13F – as of 9/30/16

    You ever wonder what Daniel Loeb and Third Point are invested in for their long-term portfolio? Here is the 13F for Third Point as of 9/30/16 with a comparison to 6/30/16. Interesting.

  • Soros 13F – as of 9/30/16

    You ever wonder what George Soros and his team are invested in for their long-term portfolio? Here is the 13F for Soros as of 9/30/16 with a comparison to 6/30/16. Interesting.

  • Pershing Square (Ackman) 13F – as of 9/30/16

    You ever wonder what Pershing Square and Bill Ackman are invested in for their long-term portfolio? Here is the 13F for Pershing with a comparison to 6/30/16. Not too many positions.

  • Berkshire Hathaway 13F as of 9/30/16

    You ever wonder what Warren Buffet, Charlie Munger and Berkshire Hathaway are invested in? Here is the 13F for Berkshire Hathaway with a comparison to 9/30/15. Impressive.

  • 13 D/F/G – Highlights WP

    This White Paper provides the key differences between Forms 13 D, F and G.

8-K

  • Form 8-K Information

    Here is some key information about filing a Form 8-K with the SEC. Includes: deadline to file and key categories of events requiring filing.

Annual Report

Other Reports

  • 2020 SEC Annual Report – Enforcement Division

    This is a great read to get some insight into SEC as they enforce the rules.  Learn some more about approach and what drivers are.

  • Company’s First ESG Report

    Here is a nice example of a Company’s first ESG report.   Just getting started is key.  

  • Form 14D-9 or 14D-9C

    Here is background information on a Form 14D-9 or 14D-9C filing with SEC. This filing is in regards to offers for a company.

  • CT Order

    Here is background information on a CT Order filing with SEC. This seems Confidential Treatment of certain information.

  • Form SD

    Here is an overview of SEC Form SD, which is focused on conflict minerals disclosure.

  • Executive Compensation Supplement

    This is a great summary of Executive Compensation. It was included as part of the proxy package sent to shareholders.

  • Giving Report – Example

    Here is a short 2-page report on Giving and Charitable Contributions for a company. Includes cash, in-kind and volunteer hours donated. Great to see.

  • Diversity and Inclusion Report – Example

    Here is a unique, yet powerful tool to show your company’s progress on diversity. This includes not only employee diversity, but also supplier diversity, recruiting military personnel, disability inclusion, among other information. Impressive.

  • PAC and Political Contributions Report – Example

    Here is another great example of a PAC and Political Contributions Report you can provide to the Street for ultimate transparency.

  • Political Contributions Report – Example

    Here is another great report to provide pure transparency to the Street. A great example of a detailed political contributions annual report. Good stuff.

  • Annual Report of Lobbying and Advocacy Expenditures – Example

    Although, not the most common here is an example of an annual report of lobbying expenditures. You will notice far less graphics. Purely information. It is a nice way to provide further transparency to the Street.

Proxy

Section 16