Interpreting Financial Statements

To be a good investor means that you must be an informed investor. A company's annual financial report,  "10K", and quarterly report, "10-Q",   contain financial information which is useful to investors,  regulators and   the general community of company "stakeholders."  These reports   present  a picture of  financial status and operational  strength of the company and serve as a basis for the quantitative and qualitative ananlysis of a company's progress to date, and its future prospects. In the same way,  an individual's  Personal Statement of Financial Condition   presents a picture of  financial status at a point in time. Knowing your Net Worth can be useful in managing family finances and setting financial goals.

Major elements of an annual report

  1. Management's discussion and analysis
  2. Auditor's opinion
  3. Financial statements
  4. Notes to the financial statements
  5. Lists of the members of the board of directors and officers

Obtaining an annual report

If possible obtain a company annual report as you follow our discussion. Request one from the company's investor relations department or treasurer's office. Other sources are the public library, the internet and possibly your stockbroker. Annuals differ by company as to their presentation but you should find most of the major elements, in some form.

Company Example: Buxton Transportation Company, Incorporated

Buxton, our hypothetical company, provides passenger and freight transportation services, on land and sea. In its analysis, management speaks glowingly about the previous year's results and expects continued profitability in the current period. In its opinion, the auditor declares that the financial statements "fairly presents in all material respects the financial position of the company in accordance with generally accepted accounting principles." Despite these pronouncements, it is necessary for us to analyze the statements ourselves.

The financial statements


After analyzing the income statement and balance sheet of Buxton Transportation Company, Incorporated, we can make a surface determination as to the investment merits of the company's debt and equity securities (bonds and stocks).

The financial statements do not enlighten us as to the sources and potential of the markets for passenger and freight transportation, nor the strengths of competitors, economic environment, labor situation, supplier cost trends, etc. Therefore much more analysis must be done, beyond the annual report, to adequately assess the investment potential of Buxton. Nevertheless, a careful reading of the annual report is a good start.


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