Earnings-week SEC filing checklist

Before the open

Readiness, not a claim that you already know the quarter.

1. 1

   Theme calendar

   Open the earnings-week theme and list which names report this session. Do not treat the calendar as a forecast of beats.

2. 2

   Stock research page

   Confirm prior filing links and note empty cells. Empty stays empty — the page will not invent a number.

3. 3

   Document queue

   Write the EDGAR path you will open when the release lands: Form 8-K Item 2.02 first, then the unaudited 10-Q when available.

4. 4

   Delayed board

   Load the research terminal for context only. Treat every last as delayed public data, not a live SIP print.

5. 5

   Desk brief

   Skim the market brief for schedule and macro context. Do not pull audited line items from a brief card.

When the release lands

Switch clocks. The first named document is usually the Form 8-K that carries Item 2.02.

1. 1

   Open Item 2.02 on EDGAR first

   The press-release exhibit is often furnished, not filed. Furnished status changes liability character; it is not a substitute for the interim statements.

2. 2

   Plan the unaudited 10-Q tie-out

   Read the 8-K beside the 10-Q. Interim 10-Q figures are unaudited — do not call them audited.

3. 3

   Watch non-GAAP add-backs

   If the release adds back stock-based compensation, do not treat that add-back as if it replaced operating expense in the 10-Q.

4. 4

   Name what is still only commentary

   Guidance language, non-GAAP tables, and delayed prints stay labeled as such before any client note is drafted.

Deeper reading: 8-K beside a 10-Q · furnished vs filed · non-GAAP SBC beside 10-Q opex

Before you put it in a client note

• Every figure in a client note links to its source (SEC filing or delayed public price) or is left blank.
• No buy/sell calls, no price targets, no performance promises.
• CCO sees the draft, sources, and rule flags in one queue before anything is sent.
• The approved version, sources, and approver are archived for exams.

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