/sec-8k-analysis

name: sec-8k-analysis
description: Analyze 8-K filings to extract material events and corporate changes using Octagon MCP. Use when tracking real-time corporate disclosures, M&A announcements, leadership changes, earnings releases, and other material events requiring immediate investor attention.

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](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](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