Parsing Sec Filings

Parsing SEC Filings

When to use this skill

• When the task requires reading 10-K, 10-Q, or 8-K filings.
• When the user asks for filing-based facts, not market rumors.
• When downstream valuation or quality analysis needs source-grounded evidence.

Workflow

1. Plan

• Confirm ticker, legal entity, period, and required filing types.
• Define required sections before reading: Business, Risk Factors, MD&A, Financial Statements, Footnotes.

2. Validate

• Verify source is SEC EDGAR (or explicitly stated official filing source).
• Verify filing date, period end date, and accession number.
• Verify company identity (ticker to CIK or issuer name).

3. Execute

• Extract only relevant sections for the user question.
• Build a structured evidence table with section name, short quote, and filing citation.
• Separate hard facts from management narrative.

Instructions

• Always attach citations in this format:
  • source: <form type> | <filing date> | <accession or URL> | <section>
• Prefer the latest annual filing plus latest quarterly filing when both are relevant.
• If the user asks trend questions, compare at least two periods.
• Normalize number units (thousands/millions) before reporting.
• Explicitly flag language that is forward-looking or non-GAAP.

Extraction checklist

• Correct issuer and reporting period
• Correct filing type(s)
• Core sections captured
• Key accounting notes captured (debt, SBC, goodwill, contingencies)
• Citations attached to every key claim

Output template

## Filing Extraction Summary: <Company> (<Period>)

### Key Facts
- <fact 1> (source: ...)
- <fact 2> (source: ...)

### Management Narrative (Needs Judgment)
- <statement 1> (source: ...)

### Data Quality Notes
- Missing sections: <none or list>
- Unit normalization assumptions: <notes>

Error handling

• If a required filing is missing, state exactly which form/period is unavailable.
• If sources conflict, present both values with citations and mark as unresolved.
• If filing text cannot be parsed, return partial extraction with a clear gap list.

Resources

• SEC EDGAR official search and APIs