sec 10k caterpillar

mat 222 2
January 13, 2021
January 13, 2021

sec 10k caterpillar

Project Descriptions


Critical Thinking SEC 10-K Project = 15%

Throughout the textbook, the authors provide multiple examples of how accountants relate accounting concepts to real world companies.  At the end of most chapters, you will find “Broadening Your Perspective.” These pages explore the financial reporting and analysis using the annual reports, including financial statements, of Amazon, Pepsi, Coca-Cola, and Wal-Mart.  In addition, Broadening your perspective includes questions and exercises designed to specifically to help you develop your critical thinking skills.

This SEC 10-K project challenges you to prepare a comprehensive financial statement analysis for a corporation headquartered in the U.S and prepare an executive summary document explaining your analysis.

Choosing a corporation:
In the first week of class, you will select a publicly traded U.S. corporation for approval.  

Your company must:
1) have filed a SEC 10-K report for the current or most recent prior year
2) be among the Fortune 100 companies.  To identify Fortune 500 companies click this link:
3) have Accounts Receivable and Inventory accounts

Your company may NOT:
1) be the same company you used for SEC projects in other classes
2) be the same company a classmate selected
3) be a bank or any other type of financial institution

Accessing the SEC 10-K filings:
Step 1) Find your corporation’s ticker symbol by using a search engine, such as Google.  Type the following into the search window: “Company name Ticker Symbol.”  For example, “Apple Ticker Symbol.”

Step 2) Go to and type your company’s ticker symbol into the “CIK or Ticker Symbol” search box and click “Find Companies.”

Step 3) On the “Edgar Search Results” page, scroll down the list of “Filings” to find the “10-K” and click “Documents.”

Step 4) On the “Filing Detail” page, click the hyperlink under the column labeled “Document”for the “Form 10-K.”  This Website is the DIRECT LINK to your company’s SEC 10-K report.  Bookmark the 10-K Website address for future reference.

Note: printing the SEC 10-K document is not recommended as it may be over 100 pages.  You may want to obtain a hard copy of the Annual Report by sending a request to the company.

Important Note:
You must post the name of your corporation in the SUBJECT line EVERY TIME you write ANYTHING about your corporation in ANY conference. You must also post the DIRECT LINK and page number(s) at the end of your posting to enable quick access for verification.

Reading an SEC 10-K Report:
The following link will provide access to the SEC’s document: How to Read an SEC 10-K Report.

Conducting a Comprehensive Financial Analysis:
Integrate financial accounting knowledge learned in Principles of Accounting I with new concepts learned in this course, and prepare a comprehensive financial statement analysis of the:

  • Income Statement [Hint: it may be called a Statement of Income, Statement of Operations, Consolidated Statements of Operations/Income; Comprehensive Income Statement]
  • Balance Sheet [Hint: it may be called a Statement of Financial Position]

Two (2) Deliverables

  1. Microsoft Word document:
    • Identify highlights of your financial analysis and discuss your company’s financial status in your OWN WORDS.
    • Length: one (1) page
    • 1 inch margins top & bottom; 1 to 1.25 inches on left & right sides
    • Line spacing: 1.5
    • Font size: 12 CPI
    • Font style: Arial
    • Save the file with YOUR NAME in the file name. Example: Sherri_Levin_SECPaper
  2. Microsoft Excel spreadsheet:
    • One (1) worksheet
    • Insert formulas into the cells for all calculations
    • If you do not know how to create formulas in Excel, click the following link and take a free 40-50 minute training course offered by Microsoft:
    • Save the file with YOUR NAME in the file name.  Example: Sherri_Levin_SECSpreadsheet

Process Used in Conference:
Step 1) Prepare the required financial analysis in Excel and post your DRAFT Excel file in the SEC conference along with the DIRECT LINK to your company’s SEC 10-K (include page numbers) 2 weeks before the due date.

Step 2) Download one classmates’ DRAFT Excel file and thoroughly check all formulas and calculations in their financial analysis.  Provide specific feedback to your classmate re: the accuracy and completeness of their financial analysis.  Provide guidance if corrections need to be made.

Step 3) Review feedback you received from one (1) classmate and make edits if necessary.

Step 4) Upload 2 documents to the SEC Assignment folder: your FINAL Excel file and the one (1) page Word document (the paper).

Additional guidance for your paper and resources:
1.  Take care to avoid academic dishonesty. Create, read, and edit your work.  Explain the financial analysis you prepared in Excel, discuss relevant Financial Statement Notes, and any other accounting related information using your own words. 

Copying information from the Web and pasting it into Tycho is plagiarism.  Plagiarism is cheating.  Papers and spreadsheets (and conference postings) suspected of having plagiarized content will be submitted to  If detects plagiarism, you will earn a zero for the assignment.  In addition, I will submit  your work to the Dean and recommend that you earn an F for the course and be expelled from the university.  There is zero tolerance for cheating in my courses.

2.  The only resources needed to complete this project are the SEC 10-K report and course content that can be found in WileyPLUS. 

Grading Rubric
Your project will be graded on the followingcriteria:
Earned Points
Recreate the Income Statement for the most current year 10%  
Recreate the Balance Sheet for the most current year 10%  
Correctly identify and compute ten (10) financial ratios relevant for the corporation you have chosen to study.
Use the Ratios_Financial_Analysis document located in the Course Resources conference.
Provide detailed feedback to one classmate noting computational errors and providing guidance for corrections 15%  
Discuss what the financial ratios mean to potential and existing investors. 20%  
Correctly identify highlights of financial analysis and discuss as part of the company’s financial status 15%  
Meet all requirements, including correct spelling and grammar. Stay within the 1 page limit. 15%  
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