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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

History

Stock ownership

Recent stock

issuances

Corporate

Structure

Litigation

Products and services

Recent mergers or acquisitions

Stock performance

Earnings

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

Experience

Expertise

Education

Positions-

current and past

Directorships?

Officer positions?

Associations?

Compensation

Investments

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

Merger?

Acquisition?

Sale of assets?

Loan?

Issuance of stock?

Who?

When?

Where?

Why?

How?

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

Purchasers

Who was hurt

Who benefited

Players: management, Board, accountants, lawyers

Condition of company

before and after

Terms

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 www.lib.uchicago.edu/e/law/corpsec.html

  • Business and Economics

    www.lib.uchicago.edu/e/busecon/

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

D'Angelo Law Library


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 www.sec.gov

  • 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
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

D'Angelo Law Library


Westlaw
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

D'Angelo Law Library


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


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