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Corporate and Securities Research. William A. Schwesig [email protected] Margaret A. Schilt [email protected] What if you don’t have anything in mind and need a topic?. Try the News databases in LexisNexis and Westlaw

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Corporate and securities research

Corporate and Securities Research

William A. Schwesig [email protected]

Margaret A. Schilt [email protected]

D'Angelo Law Library

What if you don t have anything in mind and need a topic
What if you don’t have anything in mind and need a topic?

  • Try the News databases in LexisNexis and Westlaw

  • Try the BNA topical newsletters: see the Law Library webpage under Law Databases

  • Read the D’Angelo Law Library Corporate and Securities Research page, on the Law Library website under Research Guides

D'Angelo Law Library

Example finding a topic
Example: Finding a topic

  • BNA databases

D'Angelo Law Library

Starting points
Starting Points

  • As with all legal research, where you start depends on what information you have and what you are trying to find out. Possibilities:

    A person

    A company

    A transaction

    An industry

    Issuance of a security

D'Angelo Law Library

Starting with a company
Starting with a Company


Stock ownership

Recent stock





Products and services

Recent mergers or acquisitions

Stock performance


D'Angelo Law Library

Find out more about i2 technologies inc
Find out more abouti2 Technologies, Inc.

  • LexisNexis News and Business >Company & Financial > Company Profiles & Directories > U.S. Company Reports

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Starting with a person
Starting with a Person





current and past


Officer positions?




Stock holdings

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Find out more about sanjiv sidhu
Find out more about Sanjiv Sidhu

  • LexisNexis News and Business > Company & Financial > Company Directors & Executives

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Find out more about john p mcpadden sr
Find out more about John P. McPadden, Sr.

  • Sometimes Google is helpful.

  • If not, try Martindale Hubbell (possible that nominal plaintiff is a lawyer…)

  • Try searching the business press using Ebsco Business Source Complete and Factiva.

D'Angelo Law Library

Starting with a transaction
Starting with a Transaction



Sale of assets?


Issuance of stock?






D'Angelo Law Library

I2 Technologies approved a management buyout of its wholly-owned subsidiary, Trade Services Corporation (TSC)

  • LexisNexis News and Business > Company & Financial > Mergers & Acquisitions > Mergerstat M&A Database

D'Angelo Law Library

Financial filings lexisnexis and westlaw
Financial Filings: wholly-owned subsidiary, Trade Services Corporation (TSC)LexisNexis and Westlaw

  • LexisNexis > News & Business > Company & Financial > Financial Filings > U.S. Financial Filings

    • Note the database structure: can search individual filings across companies

  • Westlaw > All Databases > Business & News > Company & Industry Reports, Analysis > Edgar-SEC Filings

    • Template permits searching by company name and form number (try i2 Technologies and 8-K and then search in results for TSC)

D'Angelo Law Library

Finding industry information
Finding industry information wholly-owned subsidiary, Trade Services Corporation (TSC)

  • Use SIC/NAICS codes to find companies with similar businesses

D'Angelo Law Library

Finding information about the issuance of a particular security using cusip numbers
Finding information about the issuance of a particular security: using CUSIP numbers

Type of security – debt or equity


Who was hurt

Who benefited

Players: management, Board, accountants, lawyers

Condition of company

before and after


D'Angelo Law Library

Resources to use
Resources to Use security: using CUSIP numbers

  • LexisNexis business resources

  • SEC filings (See Terms Sheet for definitions and Bill Schwesig’s demo for examples)

  • Company websites (esp. for transaction docs)

  • Corporate governance websites; current awareness databases

  • Print treatises

  • Commercial business research resources, e.g. Thomson Research, Factiva(see Bill Schwesig’s demo below)

D'Angelo Law Library

Human resources at the reference desk
Human Resources security: using CUSIP numbersAt the Reference Desk:

  • Sheri Lewis

  • Bill Schwesig

  • Lyonette Louis-Jacques

  • Margaret Schilt

  • Todd Ito

D'Angelo Law Library

Corporation and securities research

Corporation and Securities Research security: using CUSIP numbers

Bill Schwesig

Spring 2009

D'Angelo Law Library

Research guides
Research Guides security: using CUSIP numbers

  • Corporate and Securities Researchon DLL web page, under Research Guides

  • Business and Economics

D'Angelo Law Library

Business news
Business News security: using CUSIP numbers

  • EBSCO Business Source Complete– full text with images, charts, PDF

  • ABI Inform – business journals and trades

  • LexisNexis

  • Westlaw

  • Factiva – full text searching, news pages

  • Wall Street Journal on ProQuest

  • Bloomberg terminal

D'Angelo Law Library

Corporate governance plans
Corporate Governance Plans security: using CUSIP numbers

  • Investor Relations section ofCompany web site

  • Specific issues, in EDGAR filings

  • Bylaws (Form S-1, Exhibit 3)

  • Proxy materials (Schedule 14A)

  • Management discussion (Form 10-K)

D'Angelo Law Library

Edgar filings

10-K security: using CUSIP numbersAnnual Report

10-Q Quarterly Report

8-K Current Report(Bad News)

Proxy materials

Bylaws and articles

Registration Statements

Insider Trading

Sale of Restricted Shares

Williams Act (Tender Offers)

Material Contracts

EDGAR Filings

D'Angelo Law Library

Annual reports 10 k
Annual Reports (10-K) security: using CUSIP numbers

  • Description of the Company’s Business

  • Management Discussion

  • Financials – Income, Revenues, Debt, Cash Flow

  • Outstanding Shares, Institutional Ownership

  • Officers and Directors, Compensation

  • Material Contracts, Stock Option Plans

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Executive compensation
Executive Compensation security: using CUSIP numbers

  • Salaries: Form 10-K

  • Executive employment contracts:Exhibit 10, Material Contracts

  • Total cash value of nonsalary compensation: Proxy materials (Schedule 14A)

D'Angelo Law Library

Sources of edgar filings
Sources of EDGAR Filings security: using CUSIP numbers

  • Securities and Exchange Commission

  • Mergent Online

  • Thomson One Banker

  • LexisNexis

  • Westlaw

D'Angelo Law Library

SEC security: using CUSIP numbers

  • Free at

  • 1993 to present

  • Look up companies by name, ticker, SIC code or by Central Index Key (CIK)

  • Documents and exhibits are separate hyperlinked documents

D'Angelo Law Library

LexisNexis security: using CUSIP numbers

  • Search all filings and exhibits, or select the forms you are interested in

  • Filings and exhibits are separate documents

  • Edgar Online searches all filings and exhibits

  • Disclosure – financial reports compiled from data in EDGAR filings

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Westlaw security: using CUSIP numbers

  • EDGAR – good for full-text searching

    Many Westlaw business databases not available on our Law School subscription plan are available on Westlaw Business, LexisNexis, or Thomson One Banker

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Peer group analysis
Peer Group Analysis security: using CUSIP numbers

  • Mergent Online (link to guide)

  • Thomson One Banker

  • Factiva

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Peer comparison reports thomson one banker
Peer Comparison Reports: security: using CUSIP numbersThomson One Banker

  • Select “Comparables”

  • Options include:

  • Overviews

  • Performance

  • Financials

  • Earnings

    No custom reports

D'Angelo Law Library

Comparison reports factiva
Comparison Reports: Factiva security: using CUSIP numbers

  • Companies/Markets tab

  • Select: Company

  • Search by name or ticker in Get Company Snapshot

  • Select Reports (lower left)

  • Select Ratio Comparison Report

D'Angelo Law Library