sec-8k-analysis

SEC 8-K Analysis

Analyze 8-K filings to extract material events and corporate changes for public companies using the Octagon MCP server.

Prerequisites

Ensure Octagon MCP is configured in your AI agent (Cursor, Claude Desktop, Windsurf, etc.). See references/mcp-setup.md for installation instructions.

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 Octagon MCP

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-mcp",
  "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

Section 2 - Financial Information

Section 3 - Securities and Trading Markets

Section 4 - Matters Related to Accountants and Financial Statements

Section 5 - Corporate Governance and Management

Section 6 - Asset-Backed Securities

Section 7 - Regulation FD

Section 8 - Other Events

Section 9 - Financial Statements and Exhibits

Event Materiality Assessment

Critical Events (Immediate Action)

High Priority Events

Medium Priority Events

Tracking 8-K Patterns

Frequency Analysis

Content Evolution

Track over time:

1. Recurring themes - Ongoing issues or strategies
2. New item types - Emerging concerns or opportunities
3. Tone changes - Shifting management sentiment
4. Exhibit quality - Detail and transparency level

Analysis Tips

1. Check all items: 8-Ks often contain multiple items - don't focus only on headlines.

2. Read exhibits: Press releases and agreements in exhibits contain critical details.

3. Note timing: Friday afternoon or holiday filings may attempt to minimize attention.

4. Track patterns: Frequent 8-Ks may signal ongoing corporate activity.

5. Cross-reference: Compare 8-K disclosures with subsequent 10-Q/10-K filings.

6. 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