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Navigating SEC Forms
The best method of researching a
company is through the filings it makes with the legally
required filings it makes with the
U.S. Securities and Exchange Commission . Here is a
quick reference breakdown on some of the most useful SEC forms
(a complete list can be found here -
SEC /
EDGAR Forms):
10-K or 10-K/A - Annual Report
10-Q or 10-Q/A - Quarterly Report
8-K or 8-K/A - Current Report
SEC Form 4 - Stock Transaction
Report
DEF 14A - Definitive Proxy
Statement (Typically where you can find Executive Compensation
Information)
*All of these forms are publicly available through a number of
sources in many different formats. The best source though
typically is through an "Investor Relations" page.
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Stock Compensation / Performance for Comparisons /
Reference
Here
are some companies with "Interesting" stories..... How do
their quantifiable practices with regards to Stock Compensation
and Performance compare to others in the aviation industry.
(Unfortunately, much of the SEC Form 4 info does not go back to
cover the Enron time period)
Countrywide and Angelo
Mozilo
Insider Trading - MOZILO ANGELO R - SecForm4.Com
Insider Trades - Countrywide Financial Corp (CFC) -
SecForm4.Com
CFC: Countrywide Financial Corporation Stock Report |
Returns
Broadcom...........
Henry T. Nicholas III, Henry Samueli, William J. Ruehle, and
David Dull,: Lit. Rel. No. 20574 / May 14, 2008
Insider Trading - NICHOLAS HENRY THOMPSON III - SecForm4.Com
Insider Trading - RUEHLE WILLIAM J - SecForm4.Com
DoJ release about Henry Nicholas and William Ruehle
Insider Trading - SAMUELI HENRY - SecForm4.Com
DoJ release about Henry Samueli
Insider Trading - DULL DAVID A - SecForm4.Com
BRCM Insider Trading - Broadcom Corp - SecForm4.Com
Broadcom Corporation ( BRCM ) Stock price - NASDAQ.com
BRCM: Broadcom Corporation Stock Report | Returns
Comverse and Jacob “Kobi” Alexander
Insider Trading - ALEXANDER KOBI - SecForm4.Com
DoJ release about Jacob "Kobi" Alexander
CMVT.PK Insider Trading - COMVERSE TECHNOLOGY INC -
SecForm4.Com
Comverse Technology, Inc. ( CMVT ) Stock price - NASDAQ.com
CMVT: Comverse Technology, Inc. Stock Report | Returns
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