Reading SEC Filings

Tools

Tool	Use
get_filings	List filings (metadata, accession numbers)
get_10K_filing_items	Extract sections from annual reports
get_10Q_filing_items	Extract sections from quarterly reports
get_8K_filing_items	Extract content from current reports

10-K Items

Use item parameter with array of item IDs:

• Item-1: Business
• Item-1A: Risk Factors
• Item-7: MD&A
• Item-8: Financial Statements

10-Q Items

• Item-1: Financial Statements
• Item-2: MD&A
• Item-3: Market Risk
• Item-4: Controls

Examples

Input: "What are Apple's risk factors?"

get_10K_filing_items(ticker: "AAPL", year: 2024, item: ["Item-1A"])

Output: Summarize key risks, don't dump the full text: "Apple's key risks include supply chain concentration in Asia, intense competition across all product categories, and regulatory scrutiny in multiple jurisdictions."

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Input: "What does NVDA's management say about AI demand?"

get_10K_filing_items(ticker: "NVDA", year: 2024, item: ["Item-7"])

Output: Extract relevant MD&A sections: "NVIDIA's management highlights unprecedented data center demand driven by generative AI, with revenue up 217% YoY in that segment."

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Input: "Recent Tesla 8-K filings"

get_filings(ticker: "TSLA", filing_type: "8-K", limit: 5)

Then for each relevant filing:

get_8K_filing_items(ticker: "TSLA", accession_number: "0001628280-24-012345")

Output: Summarize material events: "Tesla's recent 8-Ks cover Q3 earnings (Oct 23), executive departure (Oct 15), and factory expansion announcement (Oct 8)."

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Input: "How did Microsoft describe its cloud business in Q2?"

get_10Q_filing_items(ticker: "MSFT", year: 2024, quarter: 2, item: ["Item-2"])

Output: Extract cloud-specific commentary from MD&A.