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Company Research: Locating the 10-k and 20-f

Company Research: Locating the 10-k and 20-f. Olivia Olivares Spring 2011 Revised Spring 2013. To find the 10-k and 20-f for companies publicly traded in the United States, visit the US Securities and Exchange Commission at http:// www.sec.gov .

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Company Research: Locating the 10-k and 20-f

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  1. Company Research: Locating the 10-k and 20-f Olivia Olivares Spring 2011 Revised Spring 2013

  2. To find the 10-k and 20-f for companies publicly traded in the United States, visit the US Securities and Exchange Commission at http://www.sec.gov. The Quick Search box is available at the top of the screen. Enter the name of a publicly traded company to retrieve the 10-k or 20-f.

  3. For a sample search, we’ll use Target. If you search for “Target” only, you’ll have to look through a list of companies with similar names to locate the desired company. You can usually tell the difference by reading the SIC description. In this case, Target is classified under “Retail-Variety Stores.”

  4. For a more efficient search, enter as much of the name of the company as you know. For example, “Target Corp.” will retrieve a much more narrow result than “Target.”

  5. To retrieve 10-ks only, limit your document search to 10-ks only by entering “10-k” in the “Filing Type” search box. NOTE: you must enter 10-k just like that, with a hyphen and a lowercase k.

  6. The 10-k is usually the first document listed on the subsequent page. Click the link at right to retrieve it.

  7. The next page will be the 10-k. This is usually over 100 pages long, so it’s best to read through the document and decide what parts you need before printing.

  8. Scroll down for a table of contents. The entire document is important, but for a good review of the company’s primary business, plant locations, where in the country and/or in the world it operates, etc., read Part I, Item 1. For a list of company threats and weaknesses, including possible lawsuits against the company, read Item 1A, Risk Factors.

  9. In cases where a company that is headquartered outside of the USA sells shares on an American stock exchange, the SEC requires an annual filing of Form 20-f, which is very similar in reporting requirements and content to the 10-k. You can find the 20-f the same way you find 10-ks. Here we have the 20-f for Nokia, which is based in Finland but sells shares on the New York Stock Exchange.

  10. Like the 10-k, the 20-f comes with a table of contents. Here, the business description is located in Item 4, 4A-D, and the risk factors are located in Item 3D.

  11. Questions? Please contact: Olivia Olivares, business research specialist James W. Miller Library Saint Cloud State University oolivares@stcloudstate.edu (320) 308-4822

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