octagonai SEC 8-K Analysis
Analyze 8-K filings to extract material events and corporate changes for public companies using the Octagon Claude plugin.
Prerequisites
Ensure the Octagon Claude plugin is installed and configured in Claude Code before invoking this skill.
Workflow
1. Identify Analysis Parameters
Determine the following before querying:
- Ticker: Stock symbol (e.g., AAPL, MSFT, GOOGL)
- Time Period (optional): Recent filings, specific date range
- Event Type (optional): Specific 8-K items of interest
2. Execute Query via the Octagon Claude plugin
Use the octagon-agent tool with a natural language prompt:
Analyze recent 8-K filings for <TICKER> and extract material events and corporate changes.
MCP Call Format:
{
"server": "octagon-claude-plugin",
"toolName": "octagon-agent",
"arguments": {
"prompt": "Analyze recent 8-K filings for AAPL and extract material events and corporate changes."
}
}
3. Expected Output
The agent returns structured 8-K analysis including:
Filing Summary:
- Filing date: January 29, 2026
- Event category: Item 2.02 (Results of Operations and Financial Condition)
Material Events:
- No material corporate changes in this filing
- Financial focus: Q1 2026 results disclosure
Corporate Changes:
- No acquisitions, dispositions, or management changes
Data Sources: octagon-sec-agent
4. Interpret Results
See references/interpreting-results.md for guidance on:
- Understanding 8-K item categories
- Assessing event materiality
- Tracking corporate changes over time
Example Queries
Recent 8-K Analysis:
Analyze recent 8-K filings for AAPL and extract material events and corporate changes.
Leadership Changes:
Find any 8-K filings for TSLA in 2025 that disclose executive departures or appointments.
M&A Activity:
Extract 8-K filings related to acquisitions or mergers for MSFT in the past 6 months.
Earnings Announcements:
Summarize the most recent 8-K earnings release filing for GOOGL.
Material Agreements:
Find 8-K filings disclosing material definitive agreements for AMZN.
Auditor Changes:
Has NVDA filed any 8-K filings regarding auditor changes in the past year?
8-K Item Categories
Section 1 - Registrant's Business and Operations
| Item | Description | Materiality |
|---|---|---|
| 1.01 | Entry into Material Definitive Agreement | High |
| 1.02 | Termination of Material Definitive Agreement | High |
| 1.03 | Bankruptcy or Receivership | Critical |
| 1.04 | Mine Safety Reporting | Industry-specific |
| 1.05 | Material Cybersecurity Incidents | High |
Section 2 - Financial Information
| Item | Description | Materiality |
|---|---|---|
| 2.01 | Completion of Acquisition or Disposition | High |
| 2.02 | Results of Operations and Financial Condition | Medium |
| 2.03 | Creation of Direct Financial Obligation | High |
| 2.04 | Triggering Events (Acceleration) | High |
| 2.05 | Costs for Exit or Disposal Activities | Medium |
| 2.06 | Material Impairments | High |
Section 3 - Securities and Trading Markets
| Item | Description | Materiality |
|---|---|---|
| 3.01 | Notice of Delisting or Transfer | Critical |
| 3.02 | Unregistered Sales of Equity | Medium |
| 3.03 | Material Modification to Rights | High |
Section 4 - Matters Related to Accountants and Financial Statements
| Item | Description | Materiality |
|---|---|---|
| 4.01 | Changes in Certifying Accountant | High |
| 4.02 | Non-Reliance on Previously Issued Financials | Critical |
Section 5 - Corporate Governance and Management
| Item | Description | Materiality |
|---|---|---|
| 5.01 | Changes in Control | Critical |
| 5.02 | Departure/Appointment of Directors/Officers | High |
| 5.03 | Amendments to Articles/Bylaws | Medium |
| 5.04 | Temporary Suspension of Trading | High |
| 5.05 | Amendments to Code of Ethics | Medium |
| 5.06 | Change in Shell Company Status | High |
| 5.07 | Shareholder Vote Results | Medium |
| 5.08 | Shareholder Nominations | Low |
Section 6 - Asset-Backed Securities
| Item | Description | Materiality |
|---|---|---|
| 6.01-6.05 | ABS-specific disclosures | Industry-specific |
Section 7 - Regulation FD
| Item | Description | Materiality |
|---|---|---|
| 7.01 | Regulation FD Disclosure | Varies |
Section 8 - Other Events
| Item | Description | Materiality |
|---|---|---|
| 8.01 | Other Events (Voluntary) | Varies |
Section 9 - Financial Statements and Exhibits
| Item | Description | Materiality |
|---|---|---|
| 9.01 | Financial Statements and Exhibits | Supporting |
Event Materiality Assessment
Critical Events (Immediate Action)
| Event Type | Examples |
|---|---|
| Bankruptcy | Chapter 11 filing, receivership |
| Restatement | Non-reliance on financials |
| Delisting | Exchange notice received |
| Control Change | Acquisition, tender offer |
| Cyber Incident | Material breach disclosed |
High Priority Events
| Event Type | Examples |
|---|---|
| M&A | Acquisition completion, divestitures |
| Leadership | CEO/CFO departure, board changes |
| Agreements | Major contracts, partnerships |
| Financial | Impairments, debt obligations |
| Auditor | Auditor change, disagreements |
Medium Priority Events
| Event Type | Examples |
|---|---|
| Earnings | Quarterly results (Item 2.02) |
| Restructuring | Cost reduction programs |
| Governance | Bylaw amendments, vote results |
| Securities | Stock issuances, modifications |
Tracking 8-K Patterns
Frequency Analysis
| Pattern | What It May Indicate |
|---|---|
| High frequency | Active M&A, restructuring, volatility |
| Low frequency | Stable operations, mature company |
| Clustered | Major corporate event unfolding |
| Regular | Routine quarterly disclosures |
Content Evolution
Track over time:
- Recurring themes - Ongoing issues or strategies
- New item types - Emerging concerns or opportunities
- Tone changes - Shifting management sentiment
- Exhibit quality - Detail and transparency level
Analysis Tips
Check all items: 8-Ks often contain multiple items - don't focus only on headlines.
Read exhibits: Press releases and agreements in exhibits contain critical details.
Note timing: Friday afternoon or holiday filings may attempt to minimize attention.
Track patterns: Frequent 8-Ks may signal ongoing corporate activity.
Cross-reference: Compare 8-K disclosures with subsequent 10-Q/10-K filings.
Monitor amendments: 8-K/A filings update or correct prior disclosures.
Use Cases
- Event-driven investing: Track material events for trading signals
- M&A monitoring: Follow acquisition announcements and completions
- Governance oversight: Monitor leadership and board changes
- Risk management: Identify material risks as they emerge
- Compliance tracking: Ensure timely disclosure monitoring