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SEC Filings

 

The SEC’s Electronic Data-Gathering, Analysis, and Retrieval system (EDGAR) is a literal goldmine of information for the Shell Stock Investor.

SEC Introduction
After the 1929 Stock Market Crash, congress passed the Securities Act of 1933 and 1934, creating the Securities and Exchange Commission (SEC).  The mission of the SEC is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation.

By law, public companies are required to file registration statements, periodic reports, and other forms electronically through EDGAR.   But, a public company with fewer than 300 shareholders (or fewer than 500 shareholders with total assets not exceeding $10 million for the most recent three fiscal years), may voluntarily file a FORM 15 and terminate their filing requirements.

Accessing the basic EDGAR database is free, but there are also several other free and fee-based systems, with improved capabilities such as custom searches and alerts.

 

SEC Filing Websites
SEC.gov U.S. Securities and Exchange Commission website
EDGARonline.com fee based SEC Filings
Morningstar Document Research - fee based SEC Filing acces and alerts
RocketFinancial.com FREE SEC filings
SECfilings.com FREE Real-time SEC Filing Alerts Delivered Directly to Your Inbox
SECinfo.com FREE searching access
SECwatch.com FREE searching access and alerts

Important SEC Filings for the Shell Stock Investor
There are several hundred different SEC forms, but for the Shell Stock Investor, there are a few key forms.
10K - Annual report, provides a comprehensive overview of the company’s business, audited financial statements, and significant shareholders for the past year
10Q - Quarterly report, includes unaudited financial statements and provides a continuing view of the company's financial position during the year
8K - report of unscheduled material events including announcements of reverse mergers
Form 3 – affiliate filing, initial share holdings
Form 4 – affiliate filing, changes of share holdings
Form 5 – affiliate filing, annual summary of share holdings
Form 15 - Termination of registration or suspension of duty to file reports
PRE 14 – preliminary proxy information, listing items to be voted on
DEF 14 - definitive proxy information, listing items to be voted on
SC 13G - statement of ownership of > 5%, for those NOT with the purpose of influencing control over the company
SC 13D – statement of ownership of > 5%, for those with the purpose of influencing control over the company
SC 14 – changes in control of a company